EK
Edward T. Kennedy
JANNEY MONTGOMERY SCOTT LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 1294010
EK
Professional summary
Edward Thomas Kennedy III, who also goes by Edward Thomas Kennedy, Edward Kennedy, Ned Kennedy, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Chicago, Illinois.
Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Edward has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, Series 15, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Edward Thomas Kennedy | Edward Kennedy | Ned 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.
KENILWORTH UNION CHURCH, INVT RELATED, KENILWORTH, IL, INVESTMENT COMMITTEE, START DATE 4/1/2014, 1 HR PER MONTH, 0 HRS DURING TRADING, ATTENDING MEETINGS TO DISCUSS AND MANAGE ASSET ALLOCATION FOR CHURCH ENDOWMENT.
CRS (Client Relationship Summary) - RIA
Click below to view Edward Thomas Kennedy III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Edward Thomas Kennedy III'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
October 31, 2024 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 318 West Adams Street Suite 1200a, Chicago, IL 60606RIA
BD
CRD#: 463
Chicago, IL
Current
October 31, 2024 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 318 West Adams Street Suite 1200a, Chicago, IL 60606RIA
BD
CRD#: 463
Chicago, IL
Past
June 8, 2017 - July 17, 2024
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHICAGO, IL
Past
June 8, 2017 - July 17, 2024
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHICAGO, IL
Past
July 14, 2009 - June 12, 2017
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
NORTHBrook, IL
Past
July 14, 2009 - June 12, 2017
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NORTHBrook, IL
Past
April 5, 2005 - March 16, 2009
DEUTSCHE BANK SECURITIES INC.
RIA
CRD#: 2525
CHICAGO, IL
Past
April 5, 2005 - March 16, 2009
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
CHICAGO, IL
Past
August 18, 2003 - April 5, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
CHICAGO, IL
Past
August 18, 2003 - April 5, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
August 1, 2000 - August 20, 2003
BANC OF AMERICA SECURITIES LLC
RIA
CRD#: 26091
CHICAGO, IL
Past
July 14, 1998 - August 20, 2003
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
May 1, 1995 - July 16, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
July 29, 1994 - May 11, 1995
SALOMON BROTHERS MUNICIPALS INC
BD
CRD#: 28940
Past
July 7, 1994 - May 11, 1995
SALOMON BROTHERS INC.
BD
CRD#: 740
NEW YORK, NY
Past
January 25, 1990 - July 12, 1994
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Past
October 22, 1985 - January 30, 1990
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
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".
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arkansas(10/31/2024)
RR
California(10/31/2024)
RR
Connecticut(10/31/2024)
RR
Florida(10/31/2024)
RR
Illinois(10/31/2024)
IAR
Illinois(10/31/2024)
RR
Indiana(10/31/2024)
RR
Massachusetts(10/31/2024)
RR
Michigan(10/31/2024)
RR
Minnesota(10/31/2024)
RR
New Mexico(10/31/2024)
RR
North Carolina(11/1/2024)
RR
Pennsylvania(10/31/2024)
RR
South Carolina(10/31/2024)
RR
Utah(10/31/2024)
RR
Wisconsin(10/31/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 3/17/1986
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
Series 15
Date: 3/6/1986
Foreign Currency Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 8/12/1998
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1717 Arch Street, Philadelphia, PA 19103
Mailing Address
1717 Arch Street, Philadelphia, PA 19103
Phone number
(215) 665-6000
Established
Delaware since 08/27/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,375
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| CULLEY, JOSEPH DAVID | BANKING PRINCIPAL (BP) | 4275987 |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
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.
