Jim has been with SC Distributors, LLC since October of 2010 and is its Chief Compliance Officer. Jim has more than 20 years of progressively responsible experience in SEC/FINRA regulatory compliance, audits, product distribution and due diligence, and asset manager research. He has worked in multiple senior operating roles at a number of dual registered BDs/Investment Advisors in New York City and on the West Coast such as Lehman Brothers, Donaldson Lufkin, & Jenrette, ING, Canterbury Consulting, and Dunham and Associates Investment Counsel.
Mr. Kearny has an B.S. Marketing and an M.B.A. in Management from St. John’s University in Queens, New York. He has a Series 7, 14, 24, 53, 55, 57, 63, and 99 registrations. He currently lives in Southern California with his wife and children.
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