Charles T. 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.
Charles Thomas Kennedy, who also goes by Charles T. Kennedy, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1995. Charles had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2016 - November 9, 2020
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 30, 2014 - November 9, 2020
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 19, 2012 - July 26, 2012
EQUITY SERVICES, INC.
September 16, 2010 - March 7, 2011
EQUITABLE ADVISORS, LLC
October 5, 2005 - December 9, 2008
WAMU INVESTMENTS, INC.
August 5, 2003 - November 17, 2003
METROPOLITAN LIFE INSURANCE COMPANY
August 5, 2003 - November 17, 2003
MSI FINANCIAL SERVICES, INC.
November 5, 2002 - June 18, 2003
IDS LIFE INSURANCE COMPANY
November 5, 2002 - June 18, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
April 4, 2000 - April 11, 2002
EQUITABLE ADVISORS, LLC
October 20, 1998 - March 27, 2000
BNY MELLON SECURITIES CORPORATION
August 17, 1998 - October 8, 1998
JOSEPH GUNNAR & CO. LLC
July 15, 1997 - November 30, 1998
CONTINENTAL BROKER-DEALER CORP.
May 31, 1995 - April 7, 1997
CONTINENTAL BROKER-DEALER CORP.
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
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
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
