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KK

Kathleen M. Kennedy

RCX CAPITAL GROUP
BOONE, NC
Some features on this profile are disabled
CRD#: 1915688
KK

Professional summary

Kathleen Mary Kennedy, who also goes by Kathleen Kennedy, Kathleen Kennedy Kopecky, is a registered financial professional currently at RCX CAPITAL GROUP, LLC located in Boone, North Carolina.

Kathleen is registered as a RR (Registered Representative) and started their career in finance in 1989. Kathleen has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kathleen Kennedy | Kathleen Kennedy Kopecky

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 Kathleen Mary Kennedy's CRS (Customer Relationship Summary).
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

December 27, 2021 - Present

RCX CAPITAL GROUP, LLC

BD
CRD#: 114290
BOONE, NC
Past

January 5, 2019 - December 31, 2019

RCX CAPITAL GROUP, LLC

BD
CRD#: 114290
THE WOODLANDS, TX
Past

August 25, 2016 - January 20, 2017

RCX CAPITAL GROUP, LLC

BD
CRD#: 114290
THE WOODLANDS, TX
Past

May 11, 2001 - December 17, 2001

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
SCOTTSDALE, AZ
Past

March 15, 2001 - April 30, 2001

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BD
CRD#: 17086
BIRMINGHAM, AL
Past

December 19, 1997 - September 1, 1999

MOMENTUM INDEPENDENT NETWORK INC.

BD
CRD#: 17587
DALLAS, TX
Past

January 3, 1992 - December 31, 1995

MOMENTUM INDEPENDENT NETWORK INC.

BD
CRD#: 17587
DALLAS, TX
Past

January 28, 1989 - January 25, 1990

ROTAN MOSLE INC.

BD
CRD#: 727

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
New York
(12/27/2021)
RR
Texas
(12/27/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 9/19/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/20/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/25/2016
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RC
RCX CAPITAL GROUP, LLC
RCX CAPITAL GROUP, LLC | SILVER POSTAL CAPITAL LLC | SILVER PORTAL CAPITAL LLC

CRD#: 114290 / SEC#: , 8-53416

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
2002 Timberloch Place Suite 200, The Woodlands, TX 77380
Mailing Address
2002 Timberloch Place Suite 200, The Woodlands, TX 77380
Phone number
(858) 923-8484
Established
California since 09/27/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RCX CAPITAL GROUP HOLDINGS, LLCMEMBER
GUINCHARD, APRIL DIANECORPORATE SECRETARY/REGISTERED PRINCIPAL1729146
GUINCHARD, JEAN-LOUISPRESIDENT/SENIOR MANAGING PRINCIPAL/EXECUTIVE REP/CCO/TRUSTEE1983431
JOHNSON, KRISTY KAYCFO/FINOP4470948

Disclosures

Regulatory Event1

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

RCX CAPITAL GROUP, LLC

CRD#: 114290Boone, NC

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