Carmel A. 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.
Carmel A Kennedy, who also goes by Carmel Ann Kennedy, Carmel Kennedy Kennedy, Carmel Kennedy, Carmel Kennedy Sterling, was a registered financial professional .
Carmel is a previously registered financial professional and started their career in finance in 1993. Carmel had worked at 4 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2025 - May 15, 2026
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
August 19, 2024 - May 15, 2026
NATIONAL FINANCIAL SERVICES LLC
January 5, 2023 - January 14, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
November 28, 2022 - May 15, 2026
FIDELITY BROKERAGE SERVICES LLC
January 5, 1999 - January 31, 2005
NATIONAL FINANCIAL SERVICES LLC
January 16, 1998 - December 31, 1998
FIDELITY BROKERAGE SERVICES LLC
February 15, 1995 - December 31, 1997
NATIONAL FINANCIAL SERVICES LLC
September 29, 1993 - February 15, 1995
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
CRD#: 301896 / SEC#: 801-116860
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 7TO
Date: 11/28/2022
General Securities Representative ExaminationCurrent Firm
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
CRD#: 301896 / SEC#: 801-116860
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 829 |
| AUM (Assets Under Management) | $ 6,468,261,663 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | ||
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/26/2023 |
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.
