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TK

Thomas J. Kennedy

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR
Denver, CO 80203
Some features on this profile are disabled
CRD#: 2867060
TK

Professional summary

Thomas Joseph Kennedy, who also goes by Thomas Joseph Kennedy Jr, Tom Kennedy, is a registered financial professional currently at ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC. located in Denver, Colorado and ALPS DISTRIBUTORS, INC. located in Denver, Colorado.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1997. Thomas has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas Joseph Kennedy Jr | Tom Kennedy

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) - BD

Click below to view Thomas Joseph Kennedy's 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®
None

Experience

Current

January 19, 2022 - Present

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

Office #1: 1290 Broadway Suite 1000, Denver, CO 80203
BD
CRD#: 144464
Denver, CO
Current

January 19, 2022 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 1290 Broadway Suite 1000, Denver, CO 80203
BD
CRD#: 16853
Denver, CO
Past

April 14, 2021 - December 31, 2021

MSEC, LLC

BD
CRD#: 154327
Overland Park, KS
Past

July 9, 2019 - March 17, 2021

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

September 26, 2007 - April 3, 2019

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

September 26, 2007 - March 17, 2021

IVY DISTRIBUTORS, INC.

BD
CRD#: 16496
OVERLAND PARK, KS
Past

January 3, 2006 - September 13, 2007

AMERICAN CENTURY BROKERAGE, INC.

BD
CRD#: 42846
KANSAS CITY, MO
Past

May 23, 2000 - September 13, 2007

AMERICAN CENTURY INVESTMENT SERVICES INC.

BD
CRD#: 17437
KANSAS CITY, MO
Past

September 4, 1997 - June 15, 1999

AMERICAN CENTURY INVESTMENT SERVICES INC.

BD
CRD#: 17437
KANSAS CITY, MO

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Missouri
(1/19/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 7/31/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/13/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/22/1997
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 3/7/2003
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/13/2002
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 5/16/2000
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AD
ALPS DISTRIBUTORS, INC.
ALPS DISTRIBUTORS, INC. | MARINER FUNDS SERVICES INC. | ALPS SECURITIES, INC. | ALPS MUTUAL FUNDS SERVICES, INC.

CRD#: 16853 / SEC#: , 8-34626

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
1290 Broadway Suite 1000, Denver, CO 80203
Mailing Address
1290 Broadway Suite 1000, Denver, CO 80203
Phone number
(303) 623-2577
Established
Colorado since 07/01/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ALPS HOLDINGS, INC.PARENT
KYLLO, STEPHEN JOHNSVP; PRESIDENT; DIRECTOR; CHIEF COMPLIANCE OFFICER; PRINCIPAL OPERATIONS OFFICER3204474
NECKEL, TARA JILLVP, DEPUTY CHIEF COMPLIANCE OFFICER4051739
PARSONS, ERIC TFINOP, CONTROLLER, PRINCIPAL FINANCIAL OFFICER5215115

Disclosures

Regulatory Event4

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.

Company Information

ALPS DISTRIBUTORS, INC.

CRD#: 16853Denver, CO 80203

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