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AK

Alan P. Kenney

Some features on this profile are disabled
CRD#: 2017410
AK

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.

Alan Peter Kenney was a registered financial professional .

Alan is a previously registered financial professional and started their career in finance in 1994. Alan had worked at 2 firms and has passed the Series 65 and Series 63 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 12, 2023 - October 29, 2024

FINANCIAL MANAGEMENT ASSOCIATES, LLC

RIA
CRD#: 327502
NORTH ANDOVER, MA
Past

April 19, 1994 - October 29, 2024

FINANCIAL MANAGEMENT ASSOCIATES, LLC

RIA
CRD#: 109531
NORTH ANDOVER, 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".
FM
FINANCIAL MANAGEMENT ASSOCIATES, LLC
FINANCIAL MANAGEMENT ASSOCIATES, LLC

CRD#: 327502 / SEC#: 801-128596

RIA
Registered Investment Advisory firm - (8/21/2023 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/6/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/7/1993
Uniform Securities Agent State Law Examination

Current Firm

FM
FINANCIAL MANAGEMENT ASSOCIATES, LLC
FINANCIAL MANAGEMENT ASSOCIATES, LLC

CRD#: 327502 / SEC#: 801-128596

RIA
Registered Investment Advisory firm - (8/21/2023 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
471 Andover Street, North Andover, MA 01845
Mailing Address
Phone number
(978) 687-2867
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (3 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/6/2025)

Regulatory assets under management

Total Number of Accounts345
AUM (Assets Under Management)$ 126,639,270

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/12/2026
Cover Page
Report
07/01/2024
Cover Page
Report

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

FINANCIAL MANAGEMENT ASSOCIATES, LLC

CRD#: 327502

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