KK
Kevin A. Kennedy
KENNEDY WEALTH & TAX MANAGEMENT
Southbury, CT 06488
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CRD#: 2891568
KK
Professional summary
Kevin Andrew Kennedy is a registered financial advisor currently at KENNEDY WEALTH & TAX MANAGEMENT, LLC located in Southbury, Connecticut.
Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Kevin has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 62 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1)LLC MEMBER OF "LITTLE K HOLDINGS, LLC" WHICH OWNS THE OFFICE CONDOMIUM THAT I OPERATE OUT OF. NON-INVESTMENT RELATED. 1 POMPERAUNG OFFICE PARK, STE 307, SOUTHBURY, CT 06488. BEGAN 5/01. 1 HR/MNTH 0/TRADE. 2)Pomperang Office Park Condominium Association, C/O LB Management, LLC. 60- F Bennett SQ, Southbury CT, 06488. BEGAN 2/7/18 AS President. NOT INVESTMENT RELATED. DEVOTES 1 HOUR/MONTH, NONE DURING TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Andrew 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®
NoneExperience
Current
September 5, 2014 - Present
KENNEDY WEALTH & TAX MANAGEMENT, LLC
Office #1: 1 Pomperaug Office Park Suite 307, Southbury, CT 06488RIA
CRD#: 172394
Southbury, CT
Past
March 28, 2005 - November 12, 2014
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
SOUTHBURY, CT
Past
June 19, 2003 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
RIA
CRD#: 39543
SOUTHBURY, CT
Past
June 19, 2003 - October 1, 2014
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
SOUTHBURY, CT
Past
February 10, 2003 - June 19, 2003
TRUSTED SECURITIES ADVISORS CORP.
RIA
CRD#: 24049
SOUTHBURY, CT
Past
August 4, 1997 - June 19, 2003
TRUSTED SECURITIES ADVISORS CORP.
BD
CRD#: 24049
NEW YORK, NY
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".
KW
KENNEDY WEALTH & TAX MANAGEMENT, LLC
KENNEDY WEALTH & TAX MANAGEMENT, LLC | KENNEDY WEALTH AND TAX MANAGEMENT, INC.
CRD#: 172394 / SEC#: 801-112886
RIA
Registered Investment Advisory firm - (4/20/2018 Approved)Connecticut
Registered Investment Advisory firm - (10/12/2018 Terminated)Florida
Registered Investment Advisory firm - (9/21/2018 Terminated)Texas
Registered Investment Advisory firm - (9/21/2018 Terminated)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
Connecticut(9/5/2014)
IAR
Florida(2/3/2015)
IAR
Texas(1/17/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 10/4/2007
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
Current Firm
KW
KENNEDY WEALTH & TAX MANAGEMENT, LLC
KENNEDY WEALTH & TAX MANAGEMENT, LLC | KENNEDY WEALTH AND TAX MANAGEMENT, INC.
CRD#: 172394 / SEC#: 801-112886
RIA
Registered Investment Advisory firm - (4/20/2018 Approved)Connecticut
Registered Investment Advisory firm - (10/12/2018 Terminated)Florida
Registered Investment Advisory firm - (9/21/2018 Terminated)Texas
Registered Investment Advisory firm - (9/21/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1 Pomperaug Office Park Suite 307, Southbury, CT 06488
Mailing Address
Phone number
(203) 264-1200
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 362 |
| AUM (Assets Under Management) | $ 191,846,218 |
Red Flags
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Company Information
KENNEDY WEALTH & TAX MANAGEMENT, LLC
CRD#: 172394Southbury, CT 06488TRUST BUT VERIFY
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Contact information
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