Steven J. Kennedy
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.
Steven James Kennedy, who also goes by Kennedy Kenz, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1983. Steven had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 22, 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
March 31, 2015 - February 11, 2020
PARK AVENUE SECURITIES LLC
January 18, 2001 - March 31, 2015
GUARDIAN INVESTOR SERVICES LLC
December 23, 1998 - September 27, 2000
TRANSAMERICA CAPITAL, LLC
April 24, 1997 - September 28, 1998
MFR SECURITIES, INC.
May 28, 1996 - March 13, 1997
MID ATLANTIC CLEARING & SETTLEMENT CORPORATION
February 7, 1996 - January 27, 1997
ABN AMRO SECURITIES LLC
July 17, 1992 - December 13, 1995
PASADENA FUND SERVICES, INC.
May 24, 1991 - October 20, 1992
ASCHER/DECISION SERVICES, INC.
November 19, 1989 - March 4, 1991
OSAIC WEALTH, INC.
May 18, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
May 13, 1987 - July 7, 1987
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
May 17, 1985 - November 4, 1986
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
April 20, 1983 - October 17, 1984
FIRST JERSEY SECURITIES, INC.
Primary Firm SEC Registration
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
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
Current Firm
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA | OWNER | |
| BOGGS, ALLEN WARREN | HEAD OF PRODUCT & SUPERVISION | 4751363 |
| CASWELL, MARIANNE GRACE | PRESIDENT AND ELECTED MEMBER | 6424651 |
| DAVARASHVILI, KATE | FINOP/PRINCIPAL FINANCIAL OFFICER. | 5642325 |
| DESROCHERS, CARL | ELECTED MEMBER | 7807194 |
| GALLO, JOSEPH MICHAEL | CHIEF COMPLIANCE OFFICER | 3108044 |
| HERGAN, JOSHUA NEIL | GENERAL COUNSEL | 4572643 |
| LESINA, LEYLA ADA | ELECTED MEMBER | 3004323 |
| MAHER, CARLY PRITCHARD | HEAD OF WEALTH MANAGEMENT STRATEGY AND BUSINESS OPERATIONS | 4003223 |
| PERRY, MICHAEL ANDREW | ELECTED MEMBER | 2688179 |
| RYNIKER, MICHAEL JOHN | PRINCIPAL OPERATIONS OFFICER | 2474604 |
Regulatory assets under management
| Total Number of Accounts | 71,074 |
| AUM (Assets Under Management) | $ 14,998,852,974 |
Disclosures
| Regulatory Event | 20 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 01/22/2025 | ||
| 11/15/2023 |
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.
