Patrick H. 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 Harold 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 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
February 10, 2014 - October 7, 2021
TD AMERITRADE, INC.
February 10, 2014 - October 7, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 10, 2014 - October 7, 2021
TD AMERITRADE, INC.
January 9, 2012 - December 31, 2013
CENTAURUS FINANCIAL, INC.
December 21, 2011 - December 31, 2013
CENTAURUS FINANCIAL, INC.
September 25, 2001 - January 4, 2010
VOYA FINANCIAL ADVISORS, INC.
September 7, 2001 - December 31, 2003
IFG NETWORK SECURITIES, INC.
September 7, 2001 - January 4, 2010
CETERA ADVISORS LLC
August 29, 2001 - December 31, 2003
VESTAX SECURITIES CORPORATION
August 27, 2001 - December 31, 2003
LOCUST STREET SECURITIES, INC.
August 27, 2001 - January 4, 2010
CETERA INVESTMENT SERVICES LLC
January 19, 1995 - December 31, 2009
CETERA WEALTH SERVICES, LLC
September 23, 1993 - January 24, 1995
GRIFFIN FINANCIAL SERVICES
July 14, 1992 - September 28, 1993
ASCHER/DECISION SERVICES, INC.
March 5, 1990 - May 11, 1992
LEGG MASON WOOD WALKER, INCORPORATED
August 12, 1987 - March 14, 1988
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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