Robert 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.
Robert Joseph Kennedy, who also goes by Bob Kennedy, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 5 firms and has passed the Series 65, Series 63, 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
May 15, 2014 - March 26, 2015
FWM LEGACY, LLC
September 6, 2003 - April 22, 2014
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 4, 2003 - April 22, 2014
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 17, 2000 - September 4, 2003
FREEDOM INVESTMENTS, INC.
July 5, 1994 - November 21, 2000
GEORGE K. BAUM & COMPANY
October 21, 1983 - July 8, 1994
KIDDER, PEABODY & CO. INCORPORATED
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
FWM LEGACY, LLC
CRD#: 144344 / SEC#: 802-127130
Contact information
Documents
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/18/2022 | ||
| 08/18/2022 | ||
| 04/11/2022 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Active | 12/5/2022 |
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.
