MK
Mark E. Kennedy
RED SPRUCE CAPITAL
Rose Valley, PA
Some features on this profile are disabled
CRD#: 1205000
MK
Professional summary
Mark Ernest Kennedy, who also goes by Mark E Kennedy, is a registered financial advisor currently at RED SPRUCE CAPITAL, LLC located in Rose Valley, Pennsylvania.
Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Mark has worked at 3 firms and has passed the Series 65, Series 63, Series 3, Series 5, Series 15, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark E 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.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Ernest Kennedy's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 2, 2012 - Present
RED SPRUCE CAPITAL, LLC
RIA
CRD#: 158720
Rose Valley, PA
Past
September 29, 1986 - June 18, 2007
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
WEST CONSHOHOCKEN, PA
Past
September 25, 1984 - September 30, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
RS
RED SPRUCE CAPITAL, LLC
RED SPRUCE CAPITAL, LLC
CRD#: 158720 / SEC#: 801-113984
RIA
Registered Investment Advisory firm - (9/14/2018 Approved)California
Registered Investment Advisory firm - (10/18/2018 Terminated)Delaware
Registered Investment Advisory firm - (9/19/2018 Terminated)Florida
Registered Investment Advisory firm - (9/18/2018 Terminated)Michigan
Registered Investment Advisory firm - (9/20/2018 Terminated)New Jersey
Registered Investment Advisory firm - (10/2/2018 Terminated)New York
Registered Investment Advisory firm - (9/18/2018 Terminated)Oregon
Registered Investment Advisory firm - (9/24/2018 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/18/2018 Terminated)Texas
Registered Investment Advisory firm - (9/18/2018 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Pennsylvania(4/2/2012)
IAR
Texas(7/15/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 11/7/1984
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
Series 15
Date: 9/28/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
RS
RED SPRUCE CAPITAL, LLC
RED SPRUCE CAPITAL, LLC
CRD#: 158720 / SEC#: 801-113984
RIA
Registered Investment Advisory firm - (9/14/2018 Approved)California
Registered Investment Advisory firm - (10/18/2018 Terminated)Delaware
Registered Investment Advisory firm - (9/19/2018 Terminated)Florida
Registered Investment Advisory firm - (9/18/2018 Terminated)Michigan
Registered Investment Advisory firm - (9/20/2018 Terminated)New Jersey
Registered Investment Advisory firm - (10/2/2018 Terminated)New York
Registered Investment Advisory firm - (9/18/2018 Terminated)Oregon
Registered Investment Advisory firm - (9/24/2018 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/18/2018 Terminated)Texas
Registered Investment Advisory firm - (9/18/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1055 Westlakes Drive Suite 300, Berwyn, PA 19312
Mailing Address
Phone number
(610) 727-4270
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 316 |
| AUM (Assets Under Management) | $ 231,780,377 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
