AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JK

John G. Kennedy Iii

SOLEBURY CAPITAL LLC
Houston, TX 77002
Some features on this profile are disabled
CRD#: 1872028
JK

Professional summary

John G Kennedy Iii, who also goes by John G Kennedy III, John G Kennedy, John G (iii) Kennedy, John Groover Kennedy III, John Groover Kennedy, John Groover Kennedy Iii, is a registered financial professional currently at SOLEBURY CAPITAL LLC located in Houston, Texas.

John is registered as a RR (Registered Representative) and started their career in finance in 1988. John has worked at 7 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John G Kennedy Iii | John G Kennedy | John G (iii) Kennedy | John Groover Kennedy Iii | John Groover Kennedy | John Groover Kennedy Iii

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John G 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®
None

Experience

Current

March 8, 2018 - Present

SOLEBURY CAPITAL LLC

Office #1: 609 Main Street Suite 2709, Houston, TX 77002
BD
CRD#: 143299
Houston, TX
Past

February 11, 2010 - October 2, 2017

TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC

BD
CRD#: 129772
HOUSTON, TX
Past

April 5, 2005 - January 27, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SAVANNAH, GA
Past

March 31, 2005 - January 27, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SAVANNAH, GA
Past

January 9, 2001 - January 27, 2004

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

November 3, 2000 - December 14, 2000

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

October 10, 2000 - December 15, 2000

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

January 31, 1995 - October 10, 2000

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

August 19, 1991 - February 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

October 19, 1988 - March 13, 1991

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(3/8/2018)
RR
Connecticut
(3/8/2018)
RR
Maryland
(3/6/2019)
RR
Massachusetts
(3/6/2019)
RR
New Jersey
(3/6/2019)
RR
New York
(3/8/2018)
RR
Ohio
(3/6/2019)
RR
Pennsylvania
(3/8/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/22/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/29/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/24/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SC
SOLEBURY CAPITAL LLC
SOLEBURY CAPITAL LLC

CRD#: 143299 / SEC#: , 8-67548

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
400 South River Road, Suite 300, New Hope, PA 18938
Mailing Address
400 South River Road, Suite 300, New Hope, PA 18938
Phone number
(215) 862-7234
Established
Pennsylvania since 05/16/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PNC BANK, NATIONAL ASSOCIATIONPARENT
COHN, VICTOR ALLANCHAIRMAN, CHIEF OPERATING OFFICER808136
EARLING, DAVID CRISTOFORIMANAGING DIRECTOR2534818
HATFIELD, EDWARD RIDGWAYCHIEF EXECUTIVE OFFICER1781580
IM, YOULREECHIEF ADMINISTRATIVE OFFICER5195473
JACOBY, MATTHEW RCHIEF COMPLIANCE OFFICER5720650
LONG, GEORGE PHILLIP MR.CHIEF LEGAL OFFICER5094038
ROHALY, JEFFREY PFINANCIAL OPERATIONS PRINCIPAL, PFO, POO4588188
WILLIAMS, JULIEVICE PRESIDENT6040587

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.

Company Information

SOLEBURY CAPITAL LLC

CRD#: 143299Houston, TX 77002

TRUST BUT VERIFY

Monitor John Kennedy Iii

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Darren Dindinger
Darren DindingerAdvisorCheck Check Mark
ALLWORTH FINANCIAL, L.P.
IAR
RR
Orting, WA
LW
Li-e WangAdvisorCheck Check Mark
TRANSAMERICA FINANCIAL ADVISORS, LLC
RR
Houston, TX
JM
James MarshallAdvisorCheck Check Mark
MARSHALL WEALTH MANAGEMENT, LLC
IAR
SUGAR LAND, TX
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.