James T. Kiernan

ARK SECURITIES LLC

New York , NY 10005

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CRD#: 846143

Professional summary

James Thomas Kiernan, who also goes by James Thomas Kiernan Jr, is a registered financial professional currently at ARK SECURITIES LLC located in New York , New York.

James is registered as a RR (Registered Representative) and started their career in finance in 1977. James has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Thomas Kiernan Jr

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 James Thomas 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

October 15, 2021 - Present

ARK SECURITIES LLC

Office #1: 44 Wall Street Suite 602, New York , NY 10005Office #2: 1950 University Circle Suite 200, Palo Alto, CA 94303

CRD#: 246787

New York , NY

Past

December 15, 2014 - December 22, 2017

CORNERSTONE CAPITAL PARTNERS INC., N.A.

RIA

CRD#: 141257

GREENWICH, CT

Past

February 28, 2013 - April 24, 2017

HALLIDAY FINANCIAL, LLC

CRD#: 31741

GLEN HEAD, NY

Past

August 18, 2009 - February 5, 2013

KUHNS BROTHERS SECURITIES CORPORATION

CRD#: 47331

COS COB, CT

Past

November 25, 2002 - November 15, 2004

KUHNS BROTHERS SECURITIES CORPORATION

CRD#: 47331

LIME ROCK, CT

Past

December 5, 1977 - December 12, 2001

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

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 66

Date: 10/20/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 4/24/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/19/1977

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/17/2019

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 12/17/1987

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

ARK SECURITIES LLC

ARK SECURITIES LLC | T&G PRIVATE CAPITAL LLC | HUDSONFIELD SECURITIES LLC

CRD#: 246787 / SEC#: , 8-69629

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

1950 University Circle Suite 200, Palo Alto, CA 94303

Mailing Address

1950 University Circle Suite 200, Palo Alto, CA 94303

Phone number

(626) 235-8063

Established

Delaware since 04/21/2015

Firm type

Limited Liability Company

Fiscal year end

November

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
OLIVE ASSET MANAGEMENT LLC	PARENT COMPANY
GRAY, JOHN CLARKE	FINOP/CFO/PFO/POO	1367440
TAYLOR, MICAH ANTHONY MR.	CHIEF EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER	2890693

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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James T. Kiernan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Thomas Kiernan's CRS (Customer Relationship Summary).

Certified licenses

Experience

CORNERSTONE CAPITAL PARTNERS INC., N.A.

HALLIDAY FINANCIAL, LLC

KUHNS BROTHERS SECURITIES CORPORATION

KUHNS BROTHERS SECURITIES CORPORATION

GOLDMAN SACHS & CO. LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/20/2014

SIE

Date: 4/24/2017

Series 7

Date: 11/19/1977

Series 24

Date: 6/17/2019

Series 8

Date: 12/17/1987

FINRA

Current Firm

ARK SECURITIES LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ARK SECURITIES LLC

TRUST BUT VERIFY

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