Kevin R. Kennedy

KEVIN KENNEDY

ALAMEDA, CA 94501

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CRD#: 1870739

Professional summary

Kevin Robert Kennedy, CFP® is a registered financial advisor currently at KEVIN KENNEDY, LLC located in Alameda, California.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Kevin has worked at 6 firms and has passed the Series 65, Series 63, Series 31, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

NAME: BANK OF MARIN BANCORP INVESTMENT RELATED: YES ADDRESS: 504 REDWOOD BLVD., STE 100 NOVATO, CA 94947 NATURE: BANK POSITION/TITLE: MEMBER OF THE BOARD OF DIRECTORS START DATE: DECEMBER 1, 2013 NUMBER OF HOURS/MONTH: 10 HOURS/MONTH DURING TRADING HRS: 0

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Robert 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®

CFP^®

Certified Financial Planner

Start date: 2007

Experience

Current

September 24, 2004 - Present

KEVIN KENNEDY, LLC

Office #1: 1516 Oak Street, Suite 101, Alameda, CA 94501

RIA

CRD#: 133193

ALAMEDA, CA

Past

December 22, 1997 - September 28, 2004

BROOKSTREET SECURITIES CORPORATION

RIA

CRD#: 14667

ALAMEDA, CA

Past

January 4, 1996 - September 28, 2004

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

SAN JUAN CAPISTRANO, CA

Past

July 31, 1992 - January 2, 1996

TRANSGLOBAL INVESTMENTS INC.

CRD#: 29290

Past

September 27, 1991 - August 5, 1992

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

November 30, 1988 - October 3, 1991

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 20, 1988 - November 19, 1988

H.J. MEYERS & CO., INC.

CRD#: 15609

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

California
(9/24/2004)

IAR

Louisiana
(2/28/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/28/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/21/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 6/29/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 3

Date: 6/26/1991

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/17/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/20/1998

General Securities Principal Examination

Current Firm

KEVIN KENNEDY, LLC

KEVIN KENNEDY | KEVIN KENNEDY, LLC

CRD#: 133193 / SEC#:

California

Registered Investment Advisory firm - (9/24/2004 Approved)

Louisiana

Registered Investment Advisory firm - (2/28/2022 Approved)

Texas

Registered Investment Advisory firm - (12/9/2008 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1516 Oak Street Suite 101, Alameda, CA 94501

Mailing Address

Phone number

(510) 748-1898

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Advisor Monitoring

Firm Stability Insights

Kevin R. Kennedy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Robert Kennedy's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROOKSTREET SECURITIES CORPORATION

BROOKSTREET SECURITIES CORPORATION

TRANSGLOBAL INVESTMENTS INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

H.J. MEYERS & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/28/1997

Series 63

Date: 6/21/1990

Series 31

Date: 6/29/2000

Series 3

Date: 6/26/1991

Series 7

Date: 9/17/1988

Series 24

Date: 8/20/1998

Current Firm

KEVIN KENNEDY, LLC

Contact information

Documents

Red Flags

Company Information

KEVIN KENNEDY, LLC

TRUST BUT VERIFY

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