James P. Keane
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 Patrick Keane, who also goes by James P Keane, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1979. James had worked at 11 firms and has passed the Series 65, Series 63, Series 15, Series 5, Series 3, Series 7, Series 1 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
August 29, 2013 - July 16, 2015
SHEEN FALLS STRATEGIES, LLC
February 1, 2002 - September 4, 2003
LUMENT SECURITIES, LLC
April 10, 2000 - December 5, 2001
A. G. EDWARDS & SONS, INC.
August 20, 1996 - April 13, 2000
PRUDENTIAL EQUITY GROUP, LLC
March 7, 1995 - August 21, 1996
KEYBANC CAPITAL MARKETS INC.
March 3, 1995 - March 16, 1995
RONEY & CO. L.L.C.
June 22, 1988 - July 21, 1995
UBS FINANCIAL SERVICES INC.
April 15, 1983 - June 28, 1988
MORGAN STANLEY DW INC.
May 27, 1981 - April 21, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 21, 1980 - May 10, 1981
CITIGROUP GLOBAL MARKETS INC.
September 24, 1979 - April 6, 1980
JOHN HANCOCK DISTRIBUTORS LLC
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 15
Date: 10/8/1996
Foreign Currency Options ExaminationSeries 5
Date: 9/12/1996
Interest Rate Options ExaminationSeries 1
Date: 9/17/1979
Registered Representative ExaminationSeries 8
Date: 7/12/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SHEEN FALLS STRATEGIES, LLC
CRD#: 164016 / SEC#:
Contact information
Red Flags
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