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JAMES PATRICK KEANE
CRD#: 4586881
IA
Investment Adviser
B
Broker
MML INVESTORS SERVICES, LLCCRD#: 10409 4695 MACARTHUR COURT
SUITE 1000
NEWPORT BEACH, CA 92660
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2003 - 2005 (1 year)2 FIRMS2015 - Present (9 years)BCION SECURITIES, LLC (CRD# 15487)2011 - 2015 (3 years)BTNP SECURITIES, LLC (CRD# 149178)2009 - 2011 (2 years)BARI FINANCIAL SERVICES, INC. (CRD# 137608)2009 - 2009 (<1 year)BWESTMOORE SECURITIES, INC. (CRD# 44948)2007 - 2008 (1 year)BJRL CAPITAL CORPORATION (CRD# 10225)2006 - 2007 (1 year)BSCUDDER INVESTOR SERVICES, INC. (CRD# 754)2003 - 2003 (<1 year)
License(s)

State Registrations

B
California 10/7/2015

B
Idaho 3/6/2024

IA
California 12/16/2015

B
South Carolina 10/2/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MML INVESTORS SERVICES, LLC (CRD#:10409)
4695 MACARTHUR COURT SUITE 1000, NEWPORT BEACH, CA 92660
Registered with this firm since 12/16/2015

B
MML INVESTORS SERVICES, LLC (CRD#:10409)
4695 MACARTHUR COURT SUITE 1000, NEWPORT BEACH, CA 92660
Registered with this firm since 10/7/2015

Previous Registration(s)
th hidden textth hidden textNameLocation
B
08/23/2011 - 06/18/2015 CION SECURITIES, LLC (CRD#:15487) NEW YORK, NY
B
08/31/2009 - 08/01/2011 TNP SECURITIES, LLC (CRD#:149178)
FINRA expelled the firm on 07/30/2013
WALNUT CREEK, CA
B
01/28/2009 - 08/25/2009 ARI FINANCIAL SERVICES, INC. (CRD#:137608) OVERLAND PARK, KS
B
04/09/2007 - 10/23/2008 WESTMOORE SECURITIES, INC. (CRD#:44948) ANAHIEM, CA
B
03/28/2006 - 04/17/2007 JRL CAPITAL CORPORATION (CRD#:10225) IRVINE, CA
IA
03/24/2003 - 09/23/2005 DEUTSCHE INVESTMENT MANAGEMENT AMERICAS INC. (CRD#:104518) COSTA MESA, CA
B
10/21/2003 - 09/14/2005 DEUTSCHE BANK SECURITIES INC. (CRD#:2525) NEW YORK, NY
B
01/15/2003 - 10/21/2003 SCUDDER INVESTOR SERVICES, INC. (CRD#:754) NEW YORK, NY
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B
Broker
IA
Investment Adviser
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.