Thomas J. Jennings

KEEN CAPITAL

Westminster, CO 80234

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CRD#: 2800974

Professional summary

Thomas Joseph Jennings, CFP®, who also goes by Thomas J Jennings, is a registered financial advisor currently at KEEN CAPITAL, LLC located in Westminster, Colorado.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Thomas has worked at 4 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas J Jennings

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) - RIA

Click below to view Thomas Joseph Jennings's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

May 23, 2017 - Present

KEEN CAPITAL, LLC

Office #1: 2830 Ranch Reserve Lane, Westminster, CO 80234

RIA

CRD#: 283597

Westminster, CO

Past

March 9, 2005 - January 13, 2012

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

DENVER, CO

Past

January 1, 2004 - January 13, 2012

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

DENVER, CO

Past

March 17, 2000 - January 1, 2004

TEACHERS PERSONAL INVESTORS SERVICES, INC.

CRD#: 36130

NEW YORK, NY

Past

September 23, 1996 - November 16, 1998

JANUS HENDERSON DISTRIBUTORS US LLC

CRD#: 28832

DENVER, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KEEN CAPITAL, LLC

CAPITALPOINT FINANCIAL PLANNING, LLC | KEEN CAPITAL, LLC

CRD#: 283597 / SEC#: 801-128059

RIA

Registered Investment Advisory firm - (5/26/2023 Approved)

Colorado

Registered Investment Advisory firm - (5/31/2023 Terminated)

New Jersey

Registered Investment Advisory firm - (4/13/2018 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/16/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(5/23/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/1/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/9/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/6/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/20/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

KEEN CAPITAL, LLC

CAPITALPOINT FINANCIAL PLANNING, LLC | KEEN CAPITAL, LLC

CRD#: 283597 / SEC#: 801-128059

RIA

Registered Investment Advisory firm - (5/26/2023 Approved)

Colorado

Registered Investment Advisory firm - (5/31/2023 Terminated)

New Jersey

Registered Investment Advisory firm - (4/13/2018 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/16/2018 Terminated)

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Contact information

Main Address

Westminster, CO

Mailing Address

2830 Ranch Reserve Lane, Westminster, CO 80234

Phone number

(303) 898-6584

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KEEN CAPITAL FORM ADV, PART 3, FORM CRS (3/13/2025)

KEEN CAPITAL FORM ADV PART 2A (3/13/2025)

Regulatory assets under management

Total Number of Accounts	221
AUM (Assets Under Management)	$ 142,785,201

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.

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Advisor Monitoring

Firm Stability Insights

Thomas J. Jennings

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Jennings's CRS (Customer Relationship Summary).

Certified licenses

Experience

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TEACHERS PERSONAL INVESTORS SERVICES, INC.

JANUS HENDERSON DISTRIBUTORS US LLC

Primary Firm SEC Registration

KEEN CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/1/2005

Series 63

Date: 10/9/1996

Series 7

Date: 10/6/1998

Series 6

Date: 9/20/1996

Current Firm

KEEN CAPITAL, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KEEN CAPITAL, LLC

TRUST BUT VERIFY

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