Chief Compliance Officer, SC Distributors

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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