KM
Kenneth R. Mahoney
NFSG
MONTVALE, NJ 07645
Some features on this profile are disabled
CRD#: 1911756
KM
Professional summary
Kenneth Robert Mahoney is a registered financial advisor currently at NFSG CORPORATION located in Montvale, New Jersey and NEWBRIDGE SECURITIES CORPORATION located in Montvale, New Jersey.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Kenneth has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
1) MAHONEY ASSET MANAGEMENT (DBA): 3/2019, NEW YORK, PROVIDE FINANCIAL AND INSURANCE SERVICES.
2) INSURANCE: INSURANCE LICENSED AGENT, ACCIDENT AND HEALTH OR SICKNESS, LIFE, VARIABLE LIFE, VARIABLE ANNUITY.
3) AUTHOR: MY NEW BOOK TITLED "10 THINGS TO DO BEFORE YOU RETIRE" - 1/2020, PROCEEDS FROM BOOK SALES.
4) KRM REALTY: OWN REAL ESTATE/RENTAL INCOME, 02/2020- OWN A BUILDING IN CT.
5) KD INTERNATIONAL GROUP REALTY INC.: 2/2019- SECRETARY; CO-SIGNER ON A BANK PROPERTY LOAN.
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Robert Mahoney'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
April 2, 2019 - Present
NFSG CORPORATION
Office #1: 135 Chestnut Ridge Road, Suite 200, Montvale, NJ 07645RIA
CRD#: 130814
MONTVALE, NJ
Current
April 2, 2019 - Present
NEWBRIDGE SECURITIES CORPORATION
Office #1: 135 Chestnut Ridge Road, Suite 200, Montvale, NJ 07645BD
CRD#: 104065
Montvale, NJ
Past
May 24, 2019 - July 18, 2019
STRATEGY ASSET MANAGERS L.L.C.
RIA
CRD#: 109939
Chestnut Ridge, NY
Past
February 6, 2019 - July 18, 2019
HOLLY STREET WEALTH ADVISORS
RIA
CRD#: 167343
Chestnut Ridge, NY
Past
January 19, 2006 - July 1, 2019
AURORA CAPITAL LLC
BD
CRD#: 37924
CHESTNUT RIDGE, NY
Past
April 3, 2000 - January 20, 2006
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
January 13, 1995 - April 28, 2000
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
March 6, 1992 - February 7, 1995
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
March 17, 1989 - March 3, 1992
DAVID LERNER ASSOCIATES, INC.
BD
CRD#: 5397
SYOSSET, NY
Past
February 14, 1989 - October 2, 1989
F.D. ROBERTS SECURITIES, INC.
BD
CRD#: 693
PARAMUS, NJ
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".
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)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
Arizona(11/18/2020)
IAR
California(4/2/2019)
RR
California(4/16/2019)
RR
Colorado(9/3/2020)
RR
Connecticut(7/9/2019)
RR
Delaware(6/24/2019)
RR
Florida(4/17/2019)
RR
Georgia(6/28/2019)
RR
Indiana(1/12/2023)
RR
Kentucky(10/19/2023)
RR
Louisiana(10/27/2021)
IAR
Louisiana(10/27/2021)
RR
Maryland(4/23/2019)
RR
Nevada(2/12/2024)
RR
New Jersey(4/17/2019)
IAR
New Jersey(1/22/2021)
RR
New York(4/3/2019)
RR
North Carolina(7/22/2019)
RR
Ohio(11/15/2022)
RR
Oklahoma(11/8/2021)
RR
Pennsylvania(7/10/2019)
RR
Puerto Rico(8/2/2019)
RR
Rhode Island(10/5/2022)
RR
South Carolina(9/16/2020)
RR
Texas(7/17/2019)
IAR
Texas(10/25/2019)
RR
Vermont(10/11/2023)
RR
Virginia(7/17/2019)
RR
Washington(4/16/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Mailing Address
Phone number
(954) 334-3450
Established
Firm type
Fiscal year end
# of Employees
89
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
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.
