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JK

John J. Kiernan

BASEROCK CAPITAL
DENVER, CO 80202
Some features on this profile are disabled
CRD#: 7304587
JK

Professional summary

John Joseph Kiernan, who also goes by John Joseph Kiernan IV, John Kiernan, is a registered financial professional currently at BASEROCK CAPITAL, LLC located in Denver, Colorado.

John is registered as a RR (Registered Representative) and started their career in finance in 2020. John has worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Joseph Kiernan Iv | John Kiernan

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Joseph Kiernan'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®
None

Experience

Current

June 19, 2024 - Present

BASEROCK CAPITAL, LLC

Office #1: 1144 15th Street Suite 3290, Denver, CO 80202Office #2: 1144 15th Street Suite 3290, Denver, CO 80202
BD
CRD#: 328592
DENVER, CO
Past

December 11, 2020 - May 30, 2023

THE FORBES SECURITIES GROUP LLC

BD
CRD#: 288142
GREENWOOD VILLAGE, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Colorado
(7/31/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 7/9/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 12/11/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/15/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

BC
BASEROCK CAPITAL, LLC
BASEROCK CAPITAL, LLC

CRD#: 328592 / SEC#: , 8-71191

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
1144 15th Street Suite 3290, Denver, CO 80202
Mailing Address
1144 15th Street Suite 3290, Denver, CO 80202
Phone number
(720) 853-4231
Established
Colorado since 10/06/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BASEROCK PARTNERS, LLCSOLE MEMBER
FLEISCHMAN, SAMUEL JAYCCO1860709
STEINEGGER, JOHN FRANKFINOP4008490
STEINEGGER, JOHN FRANK IIICEO4008490

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.

Company Information

BASEROCK CAPITAL, LLC

CRD#: 328592Denver, CO 80202

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