Unclaimed
James Michael Keener is a financial professional with over 30 years of experience in the industry. James has a broad range of experience with firms such as Sterne Agee & Leach, Inc., Sterne Agee Financial Services, Inc., and Stifel, Nicolaus & Company, Incorporated. James currently works for LPL Financial LLC, one of the largest independent broker-dealers in the United States.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
AL
05/11/2017 - Present
LPL Financial LLC (BIRMINGHAM AL)
AL
07/08/2015 - 08/04/2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED (BIRMINGHAM AL)
AL
11/05/2010 - 08/03/2015
STERNE AGEE CLEARING INC (BIRMINGHAM AL)
AL
04/10/2007 - 08/03/2015
STERNE AGEE FINANCIAL SERVICES, INC. (BIRMINGHAM AL)
AL
01/11/2001 - 08/03/2015
STERNE, AGEE & LEACH, INC. (BIRMINGHAM AL)
AL
09/20/2011 - 09/23/2011
CUSO PARTNERS, LLC (BIRMINGHAM AL)
AL
10/08/2004 - 12/07/2009
STERNE AGEE CLEARING INC (BIRMINGHAM AL)
AL
07/27/2005 - 08/27/2007
CUSO PARTNERS, LLC (BIRMINGHAM AL)
AL
05/22/1986 - 01/11/2001
COMPASS BROKERAGE, INC. (BIRMINGHAM AL)
BC
Issued 05/30/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/05/1994
Series 4 - Registered Options Principal Examination
BC
Issued 02/21/1991
Series 24 - General Securities Principal Examination
BC
Issued 01/08/1991
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/28/1990
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/17/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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