Ryan C. Kennedy

CETERA INVESTMENT ADVISERS LLC

WEST HARTFORD, CT 06119

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CRD#: 4301109

Professional summary

Ryan Christopher Kennedy, who also goes by Ryan Christophe Kennedy, Ryan Christopher Kennedy, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in West Hartford, Connecticut and CETERA WEALTH SERVICES, LLC located in West Hartford, Connecticut.

Ryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Ryan has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ryan Christophe Kennedy | Ryan Christopher 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.

1. NAME OF OTHER BUSINESS: RCK WEALTH MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA START DATE: 12/2022 POSITION/TITLE/RELATIONSHIP: PRINCIPAL APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: WEALTH ADVISOR;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan Christopher 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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 805 Farmington Avenue Suite 1d, West Hartford, CT 06119

RIA

CRD#: 105644

WEST HARTFORD, CT

Current

November 30, 2022 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 805 Farmington Avenue Suite 1d, West Hartford, CT 06119

CRD#: 13572

West Hartford, CT

Past

November 30, 2022 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

West Hartford, CT

Past

April 20, 2012 - December 9, 2022

CANTELLA & CO., INC.

RIA

CRD#: 13905

WEST HARTFORD, CT

Past

April 20, 2012 - December 9, 2022

CANTELLA & CO., INC.

CRD#: 13905

WEST HARTFORD, CT

Past

June 1, 2009 - April 30, 2012

MORGAN STANLEY

RIA

CRD#: 149777

WEST HARTFORD, CT

Past

June 1, 2009 - April 30, 2012

MORGAN STANLEY

CRD#: 149777

WEST HARTFORD, CT

Past

February 1, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

HARTFORD, CT

Past

February 1, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

HARTFORD, CT

Past

April 12, 2001 - February 7, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

HARTFORD, CT

Past

December 21, 2000 - February 7, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

HARTFORD, CT

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

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

Alabama
(12/13/2022)

California
(12/1/2022)

Connecticut
(11/30/2022)

IAR

Connecticut
(6/29/2023)

Florida
(12/7/2022)

Maine
(12/1/2022)

Massachusetts
(12/13/2022)

New Hampshire
(12/19/2022)

Rhode Island
(8/20/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/9/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/5/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/24/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/20/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/18/2012

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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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Advisor Monitoring

Firm Stability Insights

Ryan C. Kennedy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan Christopher Kennedy's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

CANTELLA & CO., INC.

CANTELLA & CO., INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/9/2001

Series 63

Date: 1/5/2001

SIE

Date: 10/1/2018

Series 31

Date: 3/24/2004

Series 7

Date: 12/20/2000

Series 24

Date: 12/18/2012

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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