Thomas H. 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.
Thomas H Kennedy Jr, who also goes by Thomas Heflin Kennedy Jr, Thomas Heflin Kennedy, Thomas H Kennedy, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1995. Thomas had worked at 4 firms and has passed the Series 63, 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
August 19, 2022 - April 22, 2024
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 30, 2014 - November 19, 2020
MORGAN STANLEY
October 27, 2014 - November 19, 2020
MORGAN STANLEY
March 20, 2012 - September 26, 2014
BBVA SECURITIES INC.
June 18, 1998 - February 16, 2012
BBVA COMPASS INVESTMENT SOLUTIONS, INC
September 7, 1995 - July 25, 1996
BBVA COMPASS INVESTMENT SOLUTIONS, 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
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
