James M. Kennedy

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CRD#: 1191673

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.

James Michael Kennedy, who also goes by Jim Kennedy, Jimmy Kennedy, was a registered financial advisor .

James is a previously registered financial advisor and started their career in finance in 1983. James had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Kennedy | Jimmy Kennedy

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 24, 2013 - July 29, 2015

GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC

RIA

CRD#: 133088

WESTFIELD, NJ

Past

March 1, 2012 - July 29, 2015

GARDEN STATE SECURITIES, INC.

CRD#: 10083

RED BANK, NJ

Past

January 5, 2009 - March 1, 2012

PAULSON INVESTMENT COMPANY LLC

RIA

CRD#: 5670

WESTFIELD, NJ

Past

December 15, 2008 - March 1, 2012

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670

WESTFIELD, NJ

Past

February 26, 2003 - May 23, 2008

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

RIA

CRD#: 7404

NEW YORK, NY

Past

September 19, 1997 - August 29, 1999

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

March 15, 1984 - December 31, 2008

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

CRD#: 7404

NEW YORK, NY

Past

October 14, 1983 - March 14, 1984

M V SECURITIES, INC. INC.

CRD#: 7201

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC

CRD#: 133088 / SEC#: 801-79500

RIA

Registered Investment Advisory firm - (4/23/2014 Approved)

Idaho

Registered Investment Advisory firm - (4/25/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (5/1/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/9/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/12/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/29/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/21/1984

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 10/13/1983

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/14/2005

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 6/3/1985

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC

CRD#: 133088 / SEC#: 801-79500

RIA

Registered Investment Advisory firm - (4/23/2014 Approved)

Idaho

Registered Investment Advisory firm - (4/25/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (5/1/2014 Terminated)

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Contact information

Main Address

328 Newman Springs Road, Red Bank, NJ 07701

Mailing Address

Phone number

(732) 280-6886

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GSIAS FORM ADV PART 2A BROCHURE DATED MARCH 31 2025 (3/31/2025)

GSIAS WRAP BROCHURE DATED MARCH 31 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,122
AUM (Assets Under Management)	$ 561,548,738

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.

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Firm Stability Insights

James M. Kennedy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GARDEN STATE SECURITIES, INC.

PAULSON INVESTMENT COMPANY LLC

PAULSON INVESTMENT COMPANY LLC

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

1717 CAPITAL MANAGEMENT COMPANY

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

M V SECURITIES, INC. INC.

Primary Firm SEC Registration

GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/9/1998

Series 63

Date: 3/12/1984

SIE

Date: 7/29/2015

Series 7

Date: 7/21/1984

Series 52

Date: 10/13/1983

Series 24

Date: 11/14/2005

Series 8

Date: 6/3/1985

Current Firm

GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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