John J. Kennedy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Joseph Kennedy, who also goes by Jack Kennedy, John J Kennedy, John Kennedy, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2025 - September 24, 2026
LPL FINANCIAL LLC
January 9, 2025 - September 24, 2026
LPL FINANCIAL LLC
June 9, 2023 - January 13, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
December 9, 2022 - January 13, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
January 3, 2011 - November 5, 2019
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
January 12, 2006 - November 10, 2009
J.P. MORGAN INVESTMENT MANAGEMENT INC.
July 7, 2004 - December 31, 2005
JPMORGAN ASSET MANAGEMENT
February 5, 2004 - January 3, 2011
JPMORGAN DISTRIBUTION SERVICES, INC.
February 1, 1999 - February 5, 2004
BANC ONE SECURITIES CORPORATION
September 19, 1994 - February 1, 1999
WINGSPAN INVESTMENT SERVICES
May 12, 1992 - August 23, 1994
RODMAN & RENSHAW INC.
August 14, 1991 - May 19, 1992
LEHMAN BROTHERS INC.
January 1, 1991 - August 8, 1991
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
What does exam status mean?
Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | GROUP MANAGING DIRECTOR, CHIEF CLIENT OFFICER | 4194266 |
| GATES, GREGORY | GROUP MANAGING DIRECTOR, CHIEF PRODUCT & TECHNOLOGY OFFICER | 7069201 |
| JAMBUSARIA, ANERI | GROUP MANAGING DIRECTOR, CHIEF WEALTH OFFICER | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | GROUP MANAGING DIRECTOR, CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | MANAGING DIRECTOR, CHIEF RISK OFFICER, HEAD OF BUSINESS OPERATIONS | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,850,994 |
| AUM (Assets Under Management) | $ 819,117,829,825 |
Disclosures
| Regulatory Event | 237 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2026 | ||
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
