Matthew J. Kennedy

PARALLEL ADVISORS

San Francisco, CA 94105

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CRD#: 4215506

Professional summary

Matthew James Kennedy is a registered financial advisor currently at PARALLEL ADVISORS, LLC located in San Francisco, California.

Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Matthew has worked at 9 firms and has passed the Series 65, Series 63, Series 66 and Series 7 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 Matthew James Kennedy'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

January 24, 2014 - Present

PARALLEL ADVISORS, LLC

Office #1: 150 Spear Street Suite 1600, San Francisco, CA 94105

RIA

CRD#: 140800

San Francisco, CA

Past

July 8, 2011 - November 12, 2013

FM PARTNERS HOLDINGS LLC

CRD#: 134736

SAN FRANCISCO, CA

Past

November 13, 2006 - June 29, 2011

OPPENHEIMER & CO. INC.

CRD#: 249

SAN FRANCISCO, CA

Past

September 24, 2003 - June 2, 2004

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

August 11, 2003 - September 25, 2003

NATCITY INVESTMENTS, INC.

CRD#: 17490

CLEVELAND, OH

Past

August 15, 2001 - November 13, 2001

THOMAS WEISEL PARTNERS LLC

CRD#: 46237

SAN FRANCISCO, CA

Past

September 19, 2000 - August 28, 2001

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

July 28, 2000 - September 1, 2000

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 28, 2000 - September 1, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

PARALLEL ADVISORS, LLC

CRD#: 140800 / SEC#: 801-68107

RIA

Registered Investment Advisory firm - (6/26/2007 Approved)

California

Registered Investment Advisory firm - (7/12/2007 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

California
(1/24/2014)

IAR

Texas
(11/14/2020)

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 65

Date: 1/10/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/20/2007

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/14/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 11/10/2006

General Securities Representative Examination

Current Firm

PARALLEL ADVISORS, LLC

CRD#: 140800 / SEC#: 801-68107

RIA

Registered Investment Advisory firm - (6/26/2007 Approved)

California

Registered Investment Advisory firm - (7/12/2007 Terminated)

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Contact information

Main Address

150 Spear Street Suite 1600, San Francisco, CA 94105

Mailing Address

Phone number

(866) 627-6984

Established

Firm type

Fiscal year end

# of Employees

126

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	14,928
AUM (Assets Under Management)	$ 8,735,387,332

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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Advisor Monitoring

Firm Stability Insights

Matthew J. Kennedy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew James Kennedy's CRS (Customer Relationship Summary).

Certified licenses

Experience

FM PARTNERS HOLDINGS LLC

OPPENHEIMER & CO. INC.

BANC ONE SECURITIES CORPORATION

NATCITY INVESTMENTS, INC.

THOMAS WEISEL PARTNERS LLC

BANC OF AMERICA SECURITIES LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

PARALLEL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/10/2014

Series 63

Date: 1/20/2007

Series 66

Date: 8/14/2000

Series 7

Date: 11/10/2006

Current Firm

PARALLEL ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PARALLEL ADVISORS, LLC

TRUST BUT VERIFY

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