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SK

Scott E. Kennedy

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CRD#: 3243193
SK

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Scott E Kennedy, CFP® was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 2000. Scott had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 2006

Experience

Past

January 4, 2016 - October 25, 2016

STACEY BRAUN FINANCIAL SERVICES, INC.

BD
CRD#: 121001
NEW YORK, NY
Past

January 30, 2013 - September 10, 2014

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
NEW YORK, NY
Past

August 26, 2011 - September 10, 2014

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
NEW YORK, NY
Past

June 1, 2009 - September 22, 2011

MORGAN STANLEY

BD
CRD#: 149777
NEW YORK, NY
Past

April 4, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

April 16, 2004 - April 9, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

June 21, 2002 - April 9, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

March 9, 2000 - November 14, 2001

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/23/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/23/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/25/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 5/14/2009
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 3/8/2000
General Securities Representative Examination

Current Firm

SB
STACEY BRAUN FINANCIAL SERVICES, INC.
STACEY BRAUN FINANCIAL SERVICES, INC.

CRD#: 121001 / SEC#: , 8-65370

BD
Terminated by SEC on 02/13/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 09/24/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
STACEY BRAUN ASSOCIATES INCSHAREHOLDER105056
MCGAHRAN, GERARD PETERFINOP2957474
WEXLER, DOUGLAS HARRYPRESIDENT, CEO,CCO4343614
WEXLER, MARTIN HOWARDDIRECTOR464265

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

STACEY BRAUN FINANCIAL SERVICES, INC.

CRD#: 121001

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