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KP

Kerry S. Pennington

THE FINANCIAL RESOURCE CENTER
Mandeville, LA
Some features on this profile are disabled
CRD#: 2975051
KP

Professional summary

Kerry Spell Pennington is a registered financial advisor currently at THE FINANCIAL RESOURCE CENTER located in Mandeville, Louisiana.

Kerry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Kerry has worked at 6 firms and has passed the SIE 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kerry Spell Pennington'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®
None

Experience

Current

May 9, 2022 - Present

THE FINANCIAL RESOURCE CENTER

RIA
CRD#: 316747
Mandeville, LA
Past

April 1, 2005 - May 9, 2022

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
Mandeville, LA
Past

March 31, 2005 - August 3, 2022

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
Mandeville, LA
Past

February 5, 2001 - April 20, 2005

G & W EQUITY SALES, INC.

BD
CRD#: 35356
INDIANAPOLIS, IN
Past

December 15, 1997 - October 11, 1999

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

December 15, 1997 - October 11, 1999

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

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".
TF
THE FINANCIAL RESOURCE CENTER
CARRIAGE WEALTH PARTNERS | THE FINANCIAL RESOURCE CENTER, INC. | THE FINANCIAL RESOURCE CENTER | CARRIAGE WEALTH PARTNERS, LLC

CRD#: 316747 / SEC#: 801-122673

RIA
Registered Investment Advisory firm - (11/10/2021 Approved)

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
Louisiana
(5/9/2022)

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 12/9/1997
Investment Company Products/Variable Contracts Representative Examination

Current Firm

TF
THE FINANCIAL RESOURCE CENTER
CARRIAGE WEALTH PARTNERS | THE FINANCIAL RESOURCE CENTER, INC. | THE FINANCIAL RESOURCE CENTER | CARRIAGE WEALTH PARTNERS, LLC

CRD#: 316747 / SEC#: 801-122673

RIA
Registered Investment Advisory firm - (11/10/2021 Approved)
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Contact information

Main Address
9640 Commerce Drive Suite 414, Carmel, IN 46032
Mailing Address
Phone number
(317) 871-8571
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (6 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV 2A - FIRM DISCLOSURE BROCHURE (3/15/2025)

Regulatory assets under management

Total Number of Accounts361
AUM (Assets Under Management)$ 407,168,352

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

THE FINANCIAL RESOURCE CENTER

CRD#: 316747Mandeville, LA

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