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KN

Kenneth C. Nagy

NORTHEAST EQUITY RESEARCH
Peabody, MA
Some features on this profile are disabled
CRD#: 4140933
KN

Professional summary

Kenneth Charles Nagy is a registered financial advisor currently at NORTHEAST EQUITY RESEARCH INC. located in Peabody, Massachusetts.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Kenneth has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

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.
Kenneth C. Nagy, CFA, works as a consultant for Zacks Investment Research. He assists in building a new research department/platform focused on crowdfunding, based on the provisions of the JOBS Act. Mr. Nagy is not compensated based on investment banking, trading of securities, or making buy/sell/hold recommendations. Mr. Nagy also teaches college-level courses at Salem State University and Endicott College. Mr. Nagy is paid per course. Insurance Producer at Crump Brokerage Services. Mr. Nagy earns commissions.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Charles Nagy'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

March 18, 2015 - Present

NORTHEAST EQUITY RESEARCH INC.

RIA
CRD#: 154083
Peabody, MA
Past

February 1, 2011 - December 31, 2014

NORTHEAST EQUITY RESEARCH INC.

RIA
CRD#: 154083
PEABODY, MA
Past

June 17, 2010 - December 31, 2010

NORTHEAST EQUITY RESEARCH INC.

RIA
CRD#: 154083
PEABODY, MA
Past

January 13, 2006 - April 28, 2010

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA
CRD#: 20804
SALEM, MA
Past

February 28, 2005 - April 28, 2010

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
SALEM, MA

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
(3/18/2015)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/26/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/13/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/25/2005
General Securities Representative Examination

Current Firm

NE
NORTHEAST EQUITY RESEARCH INC.
NORTHEAST EQUITY RESEARCH INC.

CRD#: 154083 / SEC#:

Massachusetts
Registered Investment Advisory firm - (3/18/2015 Approved)
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Contact information

Main Address
Peabody, MA
Mailing Address
Phone number
(978) 979-4212
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts100
AUM (Assets Under Management)$ 13,225,057

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

NORTHEAST EQUITY RESEARCH INC.

CRD#: 154083Peabody, MA

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