John S. 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.
John Sean Kennedy was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1998. John had worked at 10 firms and has passed the Series 63 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2009 - June 1, 2011
CHELSEA FINANCIAL SERVICES
March 13, 2009 - July 1, 2009
ACAP FINANCIAL INC.
July 20, 2006 - March 1, 2007
WESTROCK ADVISORS, INC.
October 24, 2005 - November 30, 2005
EMPIRE FINANCIAL GROUP, INC.
July 22, 2003 - October 23, 2003
NATIONAL SECURITIES CORPORATION
July 9, 2001 - August 14, 2001
ALEXANDER, WESCOTT, & CO., INC.
July 11, 2000 - October 4, 2000
VIEWTRADE SECURITIES, INC.
May 4, 1999 - June 25, 1999
PREFERRED SECURITIES GROUP, INC.
February 22, 1999 - March 17, 1999
PREFERRED SECURITIES GROUP, INC.
September 8, 1998 - October 15, 1998
DALTON KENT SECURITIES GROUP, INC.
July 13, 1998 - August 21, 1998
AIBC INVESTMENT SERVICES CORPORATION
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
CHELSEA FINANCIAL SERVICES
CRD#: 47770 / SEC#: , 8-51916
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
