Richard A. Kendzior
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.
Richard Anthony Kendzior, who also goes by Richard A Kendzior, Tony Kendzior, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 12 firms and has passed the Series 63, Series 7, Series 2 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
May 21, 2007 - August 9, 2007
MUTUAL SERVICE CORPORATION
June 29, 2004 - December 7, 2005
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
January 2, 2003 - December 31, 2006
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
June 7, 2002 - October 23, 2014
FLORIDA WEALTH ADVISORS, LLC
September 15, 2000 - December 31, 2002
FREEDOM FINANCIAL, INC.
June 30, 1999 - September 19, 2000
KESTRA INVESTMENT SERVICES, LLC
February 21, 1997 - June 30, 1999
SECURITIES AMERICA, INC.
February 4, 1991 - February 24, 1997
WALNUT STREET SECURITIES, INC.
July 25, 1988 - February 6, 1991
INTERNATIONAL ASSETS ADVISORY, LLC
June 8, 1987 - January 12, 1990
FITZGERALD, DEARMAN & ROBERTS, INC.
April 1, 1987 - June 12, 1987
WALNUT STREET SECURITIES, INC.
March 24, 1986 - April 7, 1987
PW SECURITIES, INC.
February 17, 1984 - March 26, 1986
VP DISTRIBUTORS LLC
June 19, 1983 - June 11, 1986
AETNA LIFE INSURANCE AND ANNUITY COMPANY
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 2
Date: 9/22/1982
Non-Member General Securities ExaminationCurrent Firm
MUTUAL SERVICE CORPORATION
CRD#: 4806 / SEC#: , 8-15313
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL INDEPENDENT ADVISOR SERVICE GROUP LLC | PARENT COMPANY | |
| BROWN, STEPHANIE LEIGH | DIRECTOR/SECRETARY | 1973369 |
| DWYER, WILLIAM EDWARD III | DIRECTOR | 1274680 |
| KALBAUGH, JOHN ANDREW | CHIEF EXECUTIVE OFFICER/CHAIRMAN/DIRECTOR | 1821773 |
| MITCHELL, CHRISTOPHER MILLS | CFO/FINOP | 2420144 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VANNOY-PINEDA, KATHLEEN DENISE | CHIEF COMPLIANCE OFFICER | 1347526 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 17 |
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.
