Paul F. 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.
Paul F Kennedy, who also goes by Paul Freeman Kennedy, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1998. Paul had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 52, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2022 - April 22, 2026
CHARLES SCHWAB & CO., INC.
January 26, 2022 - April 22, 2026
CHARLES SCHWAB & CO., INC.
March 8, 2018 - October 14, 2022
TD AMERITRADE, INC.
March 8, 2018 - September 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 8, 2018 - July 29, 2024
TD AMERITRADE, INC.
October 6, 2016 - March 8, 2018
SCOTTRADE INVESTMENT MANAGEMENT
January 13, 2015 - March 8, 2018
SCOTTRADE, INC.
December 19, 2014 - January 14, 2015
THRIVENT INVESTMENT MANAGEMENT INC.
October 29, 2014 - January 14, 2015
THRIVENT INVESTMENT MANAGEMENT INC.
July 9, 2008 - January 15, 2009
STOCKCROSS FINANCIAL SERVICES, INC.
September 27, 2006 - July 28, 2008
HARRISDIRECT LLC
September 25, 2006 - July 28, 2008
E*TRADE SECURITIES LLC
June 10, 2003 - September 27, 2006
TD AMERITRADE, INC.
May 5, 1999 - September 27, 2006
TD AMERITRADE, INC.
April 16, 1998 - March 21, 1999
SEATTLE-NORTHWEST SECURITIES CORPORATION
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 251 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2026 | ||
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
