Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
JAMES LOUIS MCKEEVER
CRD#: 2793792
IA
Investment Adviser
B
Previous Broker
JIM MCKEEVER, CFP, CHFCCRD#: 113127 Huntington Beach, CA
Registration History
1996199820002002200420062008201020122014201620182020202220242026IAJIM MCKEEVER, CFP, CHFC (CRD# 113127)2018 - Present (7 years)BROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)1997 - 2016 (18 years)BUSLIFE EQUITY SALES CORP. (CRD# 7962)1996 - 1997 (<1 year)IAROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)2000 - 2007 (7 years)
License(s)

State Registrations

IA
California 3/12/2018
Current Registration(s)
IA
JIM MCKEEVER, CFP, CHFC (CRD#:113127)
Huntington Beach, CA
Registered with this firm since 3/12/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 09/08/1997 - 07/15/2016 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) NEWPORT BEACH, CA
IA
 08/07/2000 - 12/21/2007 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) NEWPORT BEACH, CA
B
 11/26/1996 - 06/09/1997 USLIFE EQUITY SALES CORP. (CRD#:7962) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.