JK
James R. Kennedy
SMART MONEY GROUP
Eastland, TX 76448
Some features on this profile are disabled
CRD#: 1961588
JK
Professional summary
James Roy Kennedy, who also goes by Jim Kennedy, is a registered financial advisor currently at SMART MONEY GROUP, LLC located in Eastland, Texas and CALTON & ASSOCIATES, INC. located in Eastland, Texas.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. James has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Kennedy
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) Jim Kennedy. Non-Investment related. PO Box 904 Eastland, TX 76448. DBA for ranching. Owner. Start Date: 1987. 20 Hours per month, 1 hour during trading hours. Cattle Management. 2) Smart Money Group LLC; Partner and Fee Based Advisor ; located at po box 904 Eastland 76448; Offers managed money and retirement estate education planning advise; Spends 10 hours per month with approximately 20% during market hours 3) Jim Kennedy Rental Property; Not Investment Related; 102-104 South Seaman/801 West Main, Eastland, Tx 76448; Owner; Began 2019; Approximately 1 Hour per month including during trading hours; collect rent; 4) Maverick Barber Shop, LLC. Non-Investment related. PO Box 904 104 South Seaman, Eastland, TX 76448. Barber Shop. Owner. Start Date: 01/2019. 1 hours per month, 0 hours during trading hours. Lease space to Barbers. 5) Calton & Associates; investment related; 106 s. Seaman st. Eastland, tx 76448; Registered Representative; began 07/29/2016; spends 4 hours per month with approximately 20% during market hours; meet with clients 6) Jim Kennedy is a partner with Briscoe & Associates LLC, an accounting firm. Nature of business: tax preparation, consulting, and bookkeeping. Duties/Responsibilities: Leadership Team - working on the business, not in it. Start Date: 12/2021. Briscoe & Associates LLC is under common control of SMG. Non-investment related. 2551 NW Loop, STE A, Stephenville, TX,76401- Main Office. 10 hours per month are spent on this activity during trading hours. 0 hours a month are spent on this activity outside of trading hours. He receives no yearly compensation for this activity. 7) Jim Kennedy Insurance: Non-Investment related. PO Box 904 Eastland, TX 76448. Insurance Agent, 5 hours per month, 1 hour during trading hours. Life, Health, Long Term Care insurance and Disability.
CRS (Client Relationship Summary) - RIA
Click below to view James Roy 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®
NoneExperience
Current
August 4, 2016 - Present
SMART MONEY GROUP, LLC
Office #1: 106 South Seaman, Eastland, TX 76448RIA
CRD#: 284187
Eastland, TX
Current
July 29, 2016 - Present
CALTON & ASSOCIATES, INC.
Office #1: 106 S Seaman St., Eastland, TX 76448RIA
BD
CRD#: 20999
Eastland, TX
Past
February 7, 2003 - July 29, 2016
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
EASTLAND, TX
Past
February 24, 1997 - February 7, 2003
THE MASTERS, INC.
RIA
CRD#: 108432
EASTLAND, TX
Past
January 2, 1997 - July 29, 2016
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
EASTLAND, TX
Past
April 12, 1995 - January 6, 1997
DOMINION CAPITAL CORPORATION
BD
CRD#: 18837
DALLAS, TX
Past
March 17, 1995 - April 11, 1995
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
September 29, 1989 - March 10, 1995
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
September 29, 1989 - March 10, 1995
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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".
SM
SMART MONEY GROUP, LLC
FFG RETIREMENT COUNSELING | SMART MONEY GROUP, LLC | KENNEDY FINANCIAL SERVICES | IRONHORSE WEALTH MANAGEMENT
CRD#: 284187 / SEC#: 801-107979
RIA
Registered Investment Advisory firm - (6/30/2016 Approved)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(7/29/2016)
RR
California(7/29/2016)
RR
Colorado(7/29/2016)
RR
Florida(7/29/2016)
RR
Massachusetts(11/2/2022)
RR
Michigan(7/29/2016)
RR
Montana(2/15/2017)
RR
Nebraska(8/11/2016)
RR
Nevada(8/18/2016)
RR
New Mexico(7/29/2016)
RR
Ohio(7/29/2016)
RR
Oklahoma(8/1/2016)
RR
Puerto Rico(11/2/2022)
RR
South Dakota(8/11/2016)
RR
Texas(7/29/2016)
IAR
Texas(8/4/2016)
RR
Utah(7/29/2016)
RR
West Virginia(4/28/2025)
RR
Wisconsin(8/31/2016)
RR
Wyoming(6/13/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SM
SMART MONEY GROUP, LLC
FFG RETIREMENT COUNSELING | SMART MONEY GROUP, LLC | KENNEDY FINANCIAL SERVICES | IRONHORSE WEALTH MANAGEMENT
CRD#: 284187 / SEC#: 801-107979
RIA
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Contact information
Main Address
106 South Seaman, Eastland, TX 76448
Mailing Address
P.o. Box 895, Eastland, TX 76448
Phone number
(254) 629-3866
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,544 |
| AUM (Assets Under Management) | $ 368,881,695 |
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.
