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RK

Roderick E. Kennedy

TRUIST ADVISORY SERVICES
HILLSDALE, NJ
Some features on this profile are disabled
CRD#: 2093992
RK

Professional summary

Roderick Edwin Kennedy III, who also goes by Rod Kennedy, Roderick E Kennedy, Roderick Edwin Kennedy, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Hillsdale, New Jersey and TRUIST INVESTMENT SERVICES, INC. located in Atlanta, Georgia.

Roderick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Roderick has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Rod Kennedy | Roderick E Kennedy | Roderick Edwin 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roderick Edwin Kennedy III'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

February 21, 2018 - Present

TRUIST ADVISORY SERVICES, INC.

RIA
CRD#: 283390
HILLSDALE, NJ
Current

November 20, 2015 - Present

TRUIST INVESTMENT SERVICES, INC.

Office #1: 303 Peachtree St, Ne Fl 2 & 3, Atlanta, GA 30308
BD
CRD#: 17499
ATLANTA, GA
Past

October 14, 2016 - February 14, 2018

TRUIST ADVISORY SERVICES, INC.

RIA
CRD#: 283390
TRENTON, NJ
Past

November 30, 2015 - December 31, 2016

TRUIST INVESTMENT SERVICES, INC.

RIA
CRD#: 17499
TRENTON, NJ
Past

November 24, 2009 - July 22, 2015

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
PARAMUS, NJ
Past

November 24, 2009 - July 22, 2015

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

July 1, 2009 - November 18, 2009

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
GREENWICH, CT
Past

July 1, 2009 - November 18, 2009

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
GREENWICH, CT
Past

March 14, 2006 - May 13, 2009

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WEEHAWKEN, NJ
Past

March 14, 2006 - May 13, 2009

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

May 6, 2005 - March 8, 2006

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
BROOKLYN, NY
Past

January 11, 2005 - March 8, 2006

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
BROOKLYN, NY
Past

January 14, 2003 - December 6, 2004

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
NEW YORK, NY
Past

January 13, 2003 - December 6, 2004

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

June 21, 2002 - January 28, 2003

NEW ENGLAND SECURITIES

RIA
CRD#: 615
SECAUCUS, NJ
Past

July 15, 1997 - January 28, 2003

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

November 21, 1990 - June 25, 1997

EQUITY SERVICES, INC.

BD
CRD#: 265
MONTPELIER, VT

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".
TA
TRUIST ADVISORY SERVICES, INC.
SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA
Registered Investment Advisory firm - (5/18/2016 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
District of Columbia
(11/20/2015)
RR
Georgia
(2/14/2018)
IAR
Georgia
(2/21/2018)
RR
Maryland
(11/20/2015)
RR
New Jersey
(10/5/2023)
RR
North Carolina
(11/23/2015)
RR
South Carolina
(11/20/2015)
RR
Virginia
(11/20/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 11/30/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/22/2003
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TA
TRUIST ADVISORY SERVICES, INC.
SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA
Registered Investment Advisory firm - (5/18/2016 Approved)
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Contact information

Main Address
303 Peachtree Street 2nd Floor, Atlanta, GA 30303
Mailing Address
Po Box 4418 Mc 107, Atlanta, GA 30302
Phone number
(800) 874-4770
Established
Firm type
Fiscal year end
# of Employees
2,469

SEC notice filing (52 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

TAS AMC WRAP MANAGED PROGRAMS BROCHURE (10/31/2025)
TAS CONSULTING SERVICES AMC ADVANTAGE FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts124,363
AUM (Assets Under Management)$ 67,736,740,585

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
04/24/2025
Cover Page
Report
03/28/2024
Cover Page
Report
04/26/2023
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

TRUIST ADVISORY SERVICES, INC.

CRD#: 283390Hillsdale, NJ

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