Craig W. Kennelly
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Craig W Kennelly, who also goes by Craig William Kennelly, was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1983. Craig had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 25, Series 55, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2014 - January 5, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 29, 2014 - January 5, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 18, 2011 - June 24, 2013
CLARKSONS SECURITIES, INC
February 22, 2010 - May 20, 2011
DME SECURITIES, LLC
June 23, 2008 - June 30, 2010
ABN AMRO CLEARING USA LLC
October 15, 2007 - February 25, 2010
ROBERT M. CORLEY INCORPORATED
April 30, 2007 - September 18, 2007
TULLETT PREBON FINANCIAL SERVICES LLC
April 19, 2004 - May 17, 2007
CHAPDELAINE CORPORATE SECURITIES & CO
October 4, 2001 - April 19, 2004
APEX CLEARING CORPORATION
October 1, 1997 - May 29, 2001
BANC OF AMERICA SECURITIES LLC
February 21, 1997 - October 1, 1997
MONTGOMERY SECURITIES
October 8, 1993 - March 21, 1997
WELLINGTON SALES CORP.
August 6, 1991 - November 9, 1992
KLEINWORT BENSON NORTH AMERICA INC.
August 27, 1986 - January 4, 1991
S.G. WARBURG & CO. INC.
July 22, 1986 - September 1, 1988
S.G. WARBURG SECURITIES INC.
March 22, 1983 - July 14, 1986
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 25
Date: 1/29/2009
NYSE Trading Assistant ExaminationSeries 55
Date: 3/14/2000
Limited Representative-Equity Trader ExamCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
