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Marty E. Kennedy

Some features on this profile are disabled
CRD#: 2556052
MK

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.

Marty Eugene Kennedy was a registered financial professional .

Marty is a previously registered financial professional and started their career in finance in 1994. Marty had worked at 14 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

September 5, 2019 - November 27, 2024

SAMMONS FINANCIAL NETWORK, LLC

BD
CRD#: 158538
WEST DES MOINES, IA
Past

July 10, 2018 - May 3, 2019

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

May 8, 2013 - May 3, 2019

OSAIC FS, INC.

BD
CRD#: 3870
GREENSBORO, NC
Past

July 26, 2012 - April 3, 2013

P.J. ROBB VARIABLE, LLC

BD
CRD#: 38339
MEMPHIS, TN
Past

November 6, 2009 - February 16, 2012

LPL FINANCIAL LLC

BD
CRD#: 6413
CHARLOTTE, NC
Past

October 24, 2007 - February 16, 2012

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
CHARLOTTE, NC
Past

April 16, 2007 - October 12, 2007

QUESTAR CAPITAL CORPORATION

BD
CRD#: 43100
VOORHEES, NJ
Past

December 1, 2003 - July 26, 2006

WINDWARD SECURITIES CORPORATION

BD
CRD#: 127716
GREENSBORO, NC
Past

August 20, 1997 - December 5, 2006

OSAIC FS, INC.

BD
CRD#: 3870
GREENSBORO, NC
Past

September 23, 1996 - October 1, 1997

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

BD
CRD#: 5178
FORT WAYNE, IN
Past

February 15, 1996 - July 15, 1996

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI
Past

February 14, 1996 - July 15, 1996

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

February 6, 1995 - November 29, 1995

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

November 23, 1994 - December 15, 1994

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

November 23, 1994 - February 8, 1995

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN

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: 12/7/1994
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 11/28/1994
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/22/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/4/2001
General Securities Principal Examination

Current Firm

SF
SAMMONS FINANCIAL NETWORK, LLC
SAMMONS FINANCIAL NETWORK, LLC

CRD#: 158538 / SEC#: , 8-68905

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
8300 Mills Civic Parkway, West Des Moines, IA 50266
Mailing Address
8300 Mills Civic Parkway, West Des Moines, IA 50266
Phone number
(855) 624-0180
Established
Delaware since 06/09/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SAMMONS FINANCIAL GROUP, INC.MANAGING MEMBER/ ELECTED MANAGER
DYKHUIS, ARLEN GLENNFINOP PRINCIPAL5285074
LOWE, BILL LEOPRESIDENT2328135
SURETTE, STEPHANIE ANNCHIEF COMPLIANCE OFFICER5217627

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

SAMMONS FINANCIAL NETWORK, LLC

CRD#: 158538

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