Kenneth G. Seropian

FIRST NATIONAL ADVISORS LLC

Rockland, MA 02370

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CRD#: 2981821

Professional summary

Kenneth George Seropian JR is a registered financial advisor currently at FIRST NATIONAL ADVISORS LLC located in Rockland, Massachusetts.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Kenneth has worked at 7 firms and has passed the Series 66, Series 63, Series 7 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) BLUE HORSESHOE, LLC; NORFOLK, MA; SOLE PROPRIETORSHIP; NOT INVESTMENT RELATED, 0 HOURS PER MONTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth George Seropian JR'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

November 17, 2010 - Present

FIRST NATIONAL ADVISORS LLC

Office #1: 300 Ledgewood Place Suite 101, Rockland, MA 02370

RIA

CRD#: 120859

Rockland, MA

Past

January 24, 2011 - November 16, 2012

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

ROCKLAND, MA

Past

January 5, 2010 - December 1, 2010

USI ADVISORS

RIA

CRD#: 108113

WOBURN, MA

Past

December 16, 2009 - December 1, 2010

USI SECURITIES, INC.

CRD#: 43793

WOBURN, MA

Past

April 12, 2006 - October 30, 2009

SENTINEL PENSION ADVISORS, LLC.

RIA

CRD#: 109901

READING, MA

Past

October 16, 2003 - October 30, 2009

SENTINEL SECURITIES, LLC.

CRD#: 110942

READING, MA

Past

December 15, 1997 - October 30, 2002

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

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".

FIRST NATIONAL ADVISORS LLC

FIRST NATIONAL ADVISORS LLC | FIRST NATIONAL CORPORATION

CRD#: 120859 / SEC#: 801-66086

RIA

Registered Investment Advisory firm - (2/1/2006 Approved)

Massachusetts

Registered Investment Advisory firm - (2/28/2006 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

Massachusetts
(11/17/2010)

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: 4/10/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/21/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/17/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/11/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FIRST NATIONAL ADVISORS LLC

FIRST NATIONAL ADVISORS LLC | FIRST NATIONAL CORPORATION

CRD#: 120859 / SEC#: 801-66086

RIA

Registered Investment Advisory firm - (2/1/2006 Approved)

Massachusetts

Registered Investment Advisory firm - (2/28/2006 Terminated)

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Contact information

Main Address

300 Ledgewood Place Suite 101, Rockland, MA 02370

Mailing Address

Phone number

(781) 878-7757

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRST NATIONAL DISCLOSURE BROCHURE (2/6/2025)

Regulatory assets under management

Total Number of Accounts	2,337
AUM (Assets Under Management)	$ 1,366,635,859

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/29/2024	Cover Page	Report
08/28/2023	Cover Page	Report
09/14/2022	Cover Page	Report

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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Kenneth G. Seropian

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth George Seropian JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

USI ADVISORS

USI SECURITIES, INC.

SENTINEL PENSION ADVISORS, LLC.

SENTINEL SECURITIES, LLC.

FIDELITY DISTRIBUTORS COMPANY LLC

Primary Firm SEC Registration

FIRST NATIONAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/10/2006

Series 63

Date: 2/21/1998

Series 7

Date: 4/17/2001

Series 6

Date: 12/11/1997

Current Firm

FIRST NATIONAL ADVISORS LLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FIRST NATIONAL ADVISORS LLC

TRUST BUT VERIFY

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