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CK

Clayton A. Kennedy

ASCENSUS BROKER DEALER SERVICES
Lake Mary, FL 32746
Some features on this profile are disabled
CRD#: 3220294
CK

Professional summary

Clayton Allan Kennedy, who also goes by Clay Kennedy, Clayton A Kennedy, is a registered financial professional currently at ASCENSUS BROKER DEALER SERVICES, LLC located in Lake Mary, Florida.

Clayton is registered as a RR (Registered Representative) and started their career in finance in 1999. Clayton has worked at 12 firms and has passed the Series 63, SIE, Series 6, Series 7, Series 26 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Clay Kennedy | Clayton A 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 Clayton Allan 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

July 24, 2023 - Present

ASCENSUS BROKER DEALER SERVICES, LLC

Office #1: 300 Primera Blvd. Suite 200, Lake Mary, FL 32746
BD
CRD#: 36478
Lake Mary, FL
Past

March 9, 2020 - September 6, 2023

NEWPORT GROUP SECURITIES, INC.

BD
CRD#: 29722
Dallas, TX
Past

August 3, 2011 - February 20, 2020

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
ADDISON, TX
Past

August 1, 2008 - December 19, 2008

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
HOUSTON, TX
Past

March 3, 2008 - August 1, 2008

1717 CAPITAL MANAGEMENT COMPANY

BD
CRD#: 4082
HOUSTON, TX
Past

July 6, 2006 - March 4, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

May 26, 2005 - May 17, 2006

B. C. ZIEGLER AND COMPANY

BD
CRD#: 61
CHICAGO, IL
Past

February 26, 2004 - July 7, 2004

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

January 26, 2004 - March 1, 2004

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

January 14, 2002 - August 27, 2003

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
FRANKLIN, TN
Past

January 5, 2001 - September 4, 2003

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
LOS ANGELES, CA
Past

July 15, 1999 - August 23, 2000

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
DALLAS, TX

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
Arkansas
(7/24/2023)
RR
Colorado
(7/24/2023)
RR
Kansas
(7/24/2023)
RR
Louisiana
(7/24/2023)
RR
Minnesota
(7/24/2023)
RR
Missouri
(7/24/2023)
RR
Montana
(7/24/2023)
RR
Nebraska
(7/25/2023)
RR
New Mexico
(7/24/2023)
RR
Oklahoma
(7/24/2023)
RR
Texas
(7/24/2023)
RR
Wyoming
(7/24/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 8/8/2011
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 6
Date: 8/2/2011
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 7/14/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 4/12/2024
Investment Company Products/Variable Contracts Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/10/1999
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AB
ASCENSUS BROKER DEALER SERVICES, LLC
ASCENSUS BROKER DEALER SERVICES, INC. | UPROMISE INVESTMENTS, INC. | PREMIER MUTUAL FUND SERVICES, INC. | PREMIER DISTRIBUTOR, INC. | ASCENSUS BROKER DEALER SERVICES, LLC

CRD#: 36478 / SEC#: , 8-47312

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

Main Address
95 Wells Avenue Suite 160, Newton, MA 02459
Mailing Address
95 Wells Avenue Suite 160, Newton, MA 02459
Phone number
(215) 648-1272
Established
Delaware since 01/01/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ASCENSUS, LLC100% STOCKHOLDER OF ASCENSUS BROKER DEALER SERVICES, LLC
DUNN, MICHAEL SEANSENIOR VICE PRESIDENT3045371
FOLMER, MICHAEL ROBERTTREASURER AND VICE PRESIDENT, TAX AND FINANCE5655451
GEARIN, JAMES MPRESIDENT1405150
GINGOLASKI, DENISE MAKSIMOWFINANCIAL AND OPERATIONS PRINCIPAL6218228
GINGOLASKI, DENISE MAKSIMOWPRINCIPAL FINANCIAL OFFICER6218228
GINGOLASKI, DENISE MAKSIMOWPRINCIPAL OPERATIONS OFFICER6218228
KAPLAN, ROBERT BARRYSECRETARY1286735
KAPLAN, ROBERT BARRYCHIEF COMPLIANCE OFFICER1286735
SHANNON, MICHAEL DOUGLASSENIOR VICE PRESIDENT1314743

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

ASCENSUS BROKER DEALER SERVICES, LLC

CRD#: 36478Lake Mary, FL 32746

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