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JM

James D. Mckenna

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CRD#: 836157
JM

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Drummond Mckenna was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1981. James had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 1 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 17, 2016 - December 31, 2016

MOLONEY INVESTMENT ADVISORY LLC

RIA
CRD#: 282140
DENVER, CO
Past

February 23, 2016 - October 26, 2017

MOLONEY SECURITIES ASSET MANAGEMENT LLC

RIA
CRD#: 282448
Louisville, CO
Past

March 27, 2013 - April 27, 2016

MOLONEY SECURITIES CO., INC.

RIA
CRD#: 38535
Louisville, CO
Past

March 27, 2013 - October 26, 2017

MOLONEY SECURITIES CO., INC.

BD
CRD#: 38535
Louisville, CO
Past

January 1, 1999 - April 3, 2013

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
DENVER, CO
Past

March 2, 1998 - April 3, 2013

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
DENVER, CO
Past

November 23, 1994 - March 2, 1998

DAIN RAUSCHER INCORPORATED

BD
CRD#: 7600
Past

September 10, 1987 - November 28, 1994

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN
Past

December 21, 1981 - September 22, 1987

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 11/5/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/21/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/26/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 7/9/2003
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 1/15/1983
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 3/25/1977
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 10/31/1990
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

MI
MOLONEY INVESTMENT ADVISORY LLC
MOLONEY INVESTMENT ADVISORY LLC

CRD#: 282140 / SEC#: 801-107025

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Contact information

Main Address
13537 Barrett Parkway Drive Suite 300, Manchester, MO 63021
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

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

MOLONEY INVESTMENT ADVISORY LLC

CRD#: 282140

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