JK
James A. Kearse
MUTUAL OF OMAHA INVESTOR SERVICES
Denver, CO 80203
Some features on this profile are disabled
CRD#: 6071531
JK
Professional summary
James Allan Kearse is a registered financial advisor currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in Denver, Colorado.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. James has worked at 2 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
I AM A MEMBER OF A REAL ESTATE LLC NAMED "THE POINT GROUP, LLC". THE BUSINESS IS NOT INVESTMENT RELATED. THE ADDRESS IS 132 Heights Ave, INVERNESS, FL 34452. THE LLC INVESTS IN REAL ESTATE PROPERTIES TO INCLUDE RENTAL PROPERTY. I'M THE VICE PRESIDENT OF THE LLC AND HAVE HELD THIS POSTION SINCE THE LLC WAS ESTABLISHED IN MARCH 2003. I DEVOTE ONE HOUR A MONTH TO THE POINT GROUP, LLC AND ZERO HOURS DURING SECURITIES TRADING HOURS. MY DUTIES AS VICE PRESIDENT INVOLVE ESTABLISHING TOPICS OF DISCUSSION FOR BUSINESS MEETINGS, PROVIDING INPUT FOR NEW BUSINESS OPPORTUNITIES AND VOTING ON DECISIONS WHEN NECESSARY.
I OWN A RESIDENTIAL RENTAL PROPERTY (DUPLEX) IN FLORIDA.
FIXED INSURANCE - LIFE, DI, MEDICARE SUPP., LTC, CRITICAL ILLNESS, DENTAL, HEALTH INSURANCE
I receive incentive pay through the Mutual of Omaha Mortgage Lead Program
I serve as a director for a non-profit organization called Eternally Faithful Stewards. This is a volunteer, non-paying position. We meet once a quarter after business hours.
I'm the sole owner of Kearse Financial, LLC with a Trade Name (Doing Business As - DBA) of FullArmor Financial. The company was registered in the state of Colorado 12/28/2016. The Trade Name / DBA was submitted with an effective date of 9/20/24. The business is an LLC used to report income for tax purposes from all insurance business and security/advisory business with Mutual of Omaha Investor Services, Inc. Kearse Financial, LLC / FullArmor Financial also involves the marketing, sale and service of insurance business outside of Mutual of Omaha. This includes health insurance and benefits (individual and group), health cost-sharing programs (Medi-share and OneShare), dental and vision insurance, international health and travel insurance, and Medicare Supplement, Medicare Advantage and Part D insurance. FullArmor Financial involves the marketing of security sales and advisory services, but is not an advisory firm. All security sales and investment advisory services remain under Mutual of Omaha Investor Services, Inc. The address of Kearse Financial, LLC / FullArmor Financial is 25406 Kobilan Rd, Calhan, CO 80808. I devote 30 hours a month with approximately 20 hours during securities trading hours. The business owner duties include recording and reporting business income for tax purposes and prospecting, marketing and service in the above products.
CRS (Client Relationship Summary) - RIA
Click below to view James Allan Kearse's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Allan Kearse's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 11, 2014 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #1: 600 Grant Street Ste 304, Denver, CO 80203RIA
BD
CRD#: 611
Denver, CO
Current
March 11, 2014 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #1: 600 Grant Street Ste 304, Denver, CO 80203RIA
BD
CRD#: 611
Denver, CO
Past
November 29, 2012 - February 6, 2014
FIRST COMMAND BROKERAGE SERVICES, INC.
RIA
CRD#: 3641
COLORADO SPRINGS, CO
Past
August 3, 2012 - February 6, 2014
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
COLORADO SPRINGS, CO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
MOFA | MUTUAL OF OMAHA INVESTOR SERVICES, INC. | MUTUAL OF OMAHA FUND MANAGEMENT COMPANY | MUTUAL OF OMAHA FINANCIAL ADVISORS | MUTUAL OF OMAHA ADVISORS | MOIS
CRD#: 611 / SEC#: 801-61332, 8-47290
RIA
Registered Investment Advisory firm - SEC (7/30/2002 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/27/2022)
RR
Arkansas(10/23/2023)
RR
California(2/1/2022)
RR
Colorado(3/11/2014)
IAR
Colorado(3/11/2014)
RR
Florida(4/19/2016)
RR
Georgia(9/22/2022)
RR
Idaho(2/17/2022)
RR
Iowa(2/17/2022)
RR
Kansas(11/14/2017)
RR
Michigan(1/27/2022)
RR
Nebraska(1/27/2022)
RR
Nevada(5/10/2023)
RR
Oregon(2/17/2022)
RR
Pennsylvania(1/4/2024)
RR
Tennessee(6/2/2022)
RR
Texas(1/11/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
MOFA | MUTUAL OF OMAHA INVESTOR SERVICES, INC. | MUTUAL OF OMAHA FUND MANAGEMENT COMPANY | MUTUAL OF OMAHA FINANCIAL ADVISORS | MUTUAL OF OMAHA ADVISORS | MOIS
CRD#: 611 / SEC#: 801-61332, 8-47290
RIA
Registered Investment Advisory firm - SEC (7/30/2002 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
3300 Mutual Of Omaha Plaza, Omaha, NE 68175-1020
Mailing Address
3300 Mutual Of Omaha Plaza, Omaha, NE 68175-1020
Phone number
(402) 351-3102
Established
Nebraska since 09/01/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
277
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
