Kenneth Eugene Foley Jr
Professional Summary
Kenneth Eugene Foley Jr, who also goes by Kenneth E Foley, is a registered financial advisor currently at SPEARHEAD ADMINISTRATIVE SERVICES, LLC located in Greenville, Delaware and THE LEADERS GROUP, INC. located in Summit, New Jersey. Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Kenneth has worked at 5 firms and has passed the Series 65, Series 63, Series 3, Series 99TO,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kenneth E Foley
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
15 years in the financial services industry
Current & Past Employments
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Current Firm
SPEARHEAD ADMINISTRATIVE SERVICES, LLC
Contact Information
Main Address
3828 Kennett Pike Suite 202, Greenville, DE 19807Phone Number
(855) 615-5318# of Employees
9SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Regulatory Assets Under Management
Total Number of Accounts
813AUM (Assets Under Management)
$3,827,929,709Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/08/2023 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
SPEARHEAD ADMINISTRATIVE SERVICES, LLC
State Registrations and Notice Filings
(7/15/2022)
(4/28/2022)
(7/15/2022)
(7/15/2022)
(7/15/2022)
(4/25/2022)
(7/18/2022)
(7/15/2022)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 2011About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Aug 2017About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Eugene Foley Jr's CRS (Customer Relationship Summary).
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