Kenneth F. Dowd
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.
Kenneth Franklin Dowd, who also goes by Kenneth Franklin Dowd Jr., Kenneth Franklin Dowd, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 2001. Kenneth had worked at 6 firms and has passed the Series 65, Series 66, SIE, Series 31 and Series 7 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Education
University of New Mexico
Bachelor of Economics - Economics
2011
Experience
July 13, 2018 - January 3, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
May 18, 2018 - July 13, 2018
STRATEGIC ADVISERS LLC
October 5, 2016 - January 3, 2023
FIDELITY BROKERAGE SERVICES LLC
September 3, 2015 - October 20, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
August 19, 2015 - October 20, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
March 18, 2004 - September 18, 2015
KESTRA INVESTMENT SERVICES, LLC
July 6, 2001 - July 16, 2003
MORGAN STANLEY DW INC.
April 26, 2001 - July 16, 2003
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
FIDELITY PERSONAL AND WORKPLACE ADVISORS
Investment ConsultantCRD#: 288590TRUST BUT VERIFY
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