Anne K. 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.
Anne Kathryn Kennedy, who also goes by Anne Kennedy, was a registered financial professional .
Anne is a previously registered financial professional and started their career in finance in 1993. Anne had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 2, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 2010 - April 30, 2012
CAPTRUST ADVISORS, LLC
October 25, 2010 - April 16, 2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 18, 2010 - April 16, 2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 8, 2000 - August 12, 2008
FUNDS DISTRIBUTOR, LLC
October 13, 1993 - May 4, 2000
LPM INVESTMENT SERVICES, INC
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
Series 2
Date: 3/30/1994
Non-Member General Securities ExaminationCurrent Firm
CAPTRUST ADVISORS, LLC
CRD#: 142941 / SEC#: 801-67587
Contact information
Red Flags
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