Patrick 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.
Patrick Jude Kennedy was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1987. Patrick had worked at 9 firms and has passed the Series 63, Series 65, SIE, 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
December 20, 2012 - October 3, 2014
SLD AMERICA EQUITIES, INC.
December 20, 2012 - October 3, 2014
DIRECTED SERVICES LLC
December 17, 2012 - December 23, 2014
VOYA RETIREMENT ADVISORS, LLC
December 17, 2012 - December 23, 2014
VOYA FINANCIAL PARTNERS, LLC
December 17, 2012 - March 4, 2014
SYSTEMATIZED BENEFITS ADMINISTRATORS, INC.
December 17, 2012 - December 23, 2014
VOYA RETIREMENT ADVISORS, LLC
December 17, 2012 - December 23, 2014
VOYA FINANCIAL PARTNERS, LLC
June 29, 2012 - December 23, 2014
VOYA FINANCIAL ADVISORS, INC.
June 28, 2012 - December 23, 2014
VOYA FINANCIAL ADVISORS, INC.
May 6, 2005 - January 10, 2011
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
November 19, 2004 - January 10, 2011
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
November 1, 2002 - December 11, 2003
DWS INVESTMENT MANAGEMENT AMERICAS, INC.
March 25, 1987 - June 26, 1989
NORTHERN TRUST SECURITIES, INC.
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
SLD AMERICA EQUITIES, INC.
CRD#: 36259 / SEC#: , 8-47089
Contact information
FINRA licenses (46 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITY LIFE OF DENVER INSURANCE COMPANY | PARENT OF BROKER/DEALER | |
| ANDERSON, KELLY MARIE | DEPUTY COMPLIANCE OFFICER | 1819119 |
| BURNS, BRANDI JO | PRESIDENT | 5862366 |
| DIXIT, ANURAKT | CHAIR/DIRECTOR | 8029030 |
| ESLINGER, CHAD MICHAEL | CHIEF COMPLIANCE OFFICER | 4182299 |
| KILIAN, CONRAD JOHANN | FINANCIAL AND OPERATIONS PRINCIPAL | 6214509 |
| SOCHA, KEVIN ROBERT | DIRECTOR | 7241694 |
| WIESE, AMY JO | DIRECTOR | 5928677 |
Disclosures
| Regulatory Event | 1 |
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.
