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DK

Dennis F. Kennedy

Some features on this profile are disabled
CRD#: 2121189
DK

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.

Dennis Francis Kennedy, who also goes by Dennis Kennedy, was a registered financial professional .

Dennis is a previously registered financial professional and started their career in finance in 1991. Dennis had worked at 16 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 3, Series 7, Series 4, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dennis 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)

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

July 23, 2014 - November 21, 2014

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
WEXFORD, PA
Past

April 5, 2011 - June 17, 2014

HEADWATERS INVESTMENT COUNSEL, LLC

RIA
CRD#: 107958
KIRTLAND, OH
Past

March 5, 2010 - September 8, 2010

DOMINARI SECURITIES LLC

RIA
CRD#: 18975
NEW YORK, NY
Past

November 3, 2009 - September 8, 2010

DOMINARI SECURITIES LLC

BD
CRD#: 18975
NEW YORK, NY
Past

July 7, 2008 - October 26, 2009

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
STRONGSVILLE, OH
Past

November 13, 2007 - December 12, 2007

FINANCIAL TELESIS INC

RIA
CRD#: 31012
PITTSBURG, PA
Past

November 13, 2007 - December 12, 2007

FINANCIAL TELESIS INC

BD
CRD#: 31012
PITTSBURG, PA
Past

July 26, 2007 - October 30, 2007

COWDEN ADVISERS, INC.

RIA
CRD#: 134965
PITTSBURGH, PA
Past

April 19, 2006 - April 10, 2007

THE HUNTINGTON INVESTMENT COMPANY

RIA
CRD#: 16986
ALLIANCE, OH
Past

April 18, 2006 - April 10, 2007

THE HUNTINGTON INVESTMENT COMPANY

BD
CRD#: 16986
ALLIANCE, OH
Past

June 17, 2003 - April 20, 2006

LPL FINANCIAL LLC

RIA
CRD#: 6413
ZANESVILLE, OH
Past

June 16, 2003 - April 20, 2006

LPL FINANCIAL LLC

BD
CRD#: 6413
ZANESVILLE, OH
Past

February 8, 2002 - February 5, 2003

BNY MELLON CAPITAL MARKETS, LLC

BD
CRD#: 17454
NEW YORK, NY
Past

January 4, 1999 - January 28, 2002

NATCITY INSURANCE SERVICES, INC.

BD
CRD#: 16989
CLEVELAND, OH
Past

August 3, 1998 - January 4, 1999

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY
Past

June 11, 1997 - August 3, 1998

INDEPENDENT FINANCIAL SECURITIES, INC.

BD
CRD#: 19924
Past

May 5, 1997 - January 28, 2002

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
CLEVELAND, OH
Past

August 22, 1995 - May 14, 1997

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

August 8, 1995 - August 21, 1995

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

October 7, 1991 - June 29, 1994

MISSIONSQUARE WEALTH MANAGEMENT

BD
CRD#: 23189
WASHINGTON, DC

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".
NS
NATIONWIDE SECURITIES, LLC
NATIONWIDE ADVISORY SERVICES, INC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, LLC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, INC. | NATIONWIDE SECURITIES, LLC | NATIONWIDE SECURITIES, INC. | NATIONWIDE ADVISORY SERVICES, INC.

CRD#: 11173 / SEC#: 801-69260, 8-12500

RIA
Registered Investment Advisory firm - SEC (7/9/2008 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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
RR
Series 63
Date: 7/9/2014
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 8/21/1995
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/21/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/23/2014
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 10/12/1995
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/7/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 4/1/1998
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/16/1997
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 11/22/1991
Investment Company Products/Variable Contracts Principal Examination

Current Firm

NS
NATIONWIDE SECURITIES, LLC
NATIONWIDE ADVISORY SERVICES, INC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, LLC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, INC. | NATIONWIDE SECURITIES, LLC | NATIONWIDE SECURITIES, INC. | NATIONWIDE ADVISORY SERVICES, INC.

CRD#: 11173 / SEC#: 801-69260, 8-12500

RIA
Registered Investment Advisory firm - SEC (7/9/2008 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
One Nationwide Plaza Mailing Code: 01-17-402, Columbus, OH 43215
Mailing Address
One Nationwide Plaza 1-33-401, Columbus, OH 43215
Phone number
(888) 753-7364
Established
Delaware since 10/09/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
24

SEC notice filing (53 States and Territories)

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

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

NSLLC FORM ADV PART 2A BROCHURE (7/8/2025)

Direct owners and executive officers

NamePositionCRD#
NFS DISTRIBUTORS, INC.MANAGING MEMBER
FLAGLER, TAMMARA E.PRESIDENT5652398
GINNAN, STEVEN A.BOARD MANAGER6984613
JESTICE, KEVIN THOMASBOARD MANAGER5363377
ROSWELL, EWAN THEODOREAVP, FINANCE CONTROLLERSHIP-NF AND FINOP3056545
SEVERSON, JAMES RICHARDCHIEF COMPLIANCE OFFICER4347559

Disclosures

Regulatory Event10
Arbitration3

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

NATIONWIDE SECURITIES, LLC

CRD#: 11173

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