John P. Kearns
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.
John Patrick Kearns, who also goes by J Patrick Kearns, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1977. John had worked at 11 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 3, PC, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2014 - April 15, 2025
MORGAN STANLEY
January 17, 2014 - April 15, 2025
MORGAN STANLEY
August 22, 2006 - January 22, 2014
FULCRUM SECURITIES, LLC
August 10, 2004 - January 22, 2014
FULCRUM ADVISORY SERVICES, LLC
June 10, 2003 - December 4, 2006
WESTMINSTER FINANCIAL SECURITIES, INC.
February 9, 1999 - June 12, 2003
PRUDENTIAL EQUITY GROUP, LLC
March 12, 1996 - June 12, 2003
PRUDENTIAL EQUITY GROUP, LLC
June 3, 1994 - February 20, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 1993 - May 27, 1994
CITIGROUP GLOBAL MARKETS INC.
April 11, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
April 15, 1986 - April 11, 1988
E. F. HUTTON & COMPANY INC
April 14, 1983 - April 1, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
September 26, 1978 - May 2, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 21, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationPC
Date: 4/4/1986
AMEX Put and Call ExamSeries 8
Date: 8/10/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
