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Detailed Report
JAMES L MCENERNEY JR
JAMES L MCENERNEY JR., JAMES L MCENERNEY, JAMES LEE MCENERNEY JR, JAMES LEE MCENERNEY, JIM MCENERNEY…
CRD#: 734383
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Previous Investment Adviser
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Previous Broker
SUSPENDED
FINRA has suspended this individual from acting as a broker. Please see the detailed report for more information
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
199820002002200420062008201020122014201620182020IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2011 - 2018 (7 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2010 - 2011 (<1 year)IACREATIVE PLANNING (CRD# 105348)2009 - 2010 (1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2009 - 2009 (<1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1997 - 2008 (10 years)
Disclosure(s)
View By:
6/19/2020
Regulatory
Final
5/7/2019
Regulatory
Final
8/17/2018
Employment Separation After Allegations
Previous Registration(s)
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 09/13/2011 - 09/14/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) OVERLAND PARK, KS
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 08/18/2010 - 06/03/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) KANSAS CITY, MO
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 09/11/2009 - 12/17/2010 CREATIVE PLANNING (CRD#:105348) OVERLAND PARK, KS
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 07/17/2009 - 08/04/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CARY, NC
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 12/30/1997 - 09/23/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) KANSAS CITY, MO
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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.
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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.