William L. Kieran

KEVIN KENNEDY

Rancho Mission Viejo, CA

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CRD#: 4407030

Professional summary

William Lee Kieran, who also goes by Lee Kieran, is a registered financial advisor currently at KEVIN KENNEDY, LLC located in Rancho Mission Viejo, California.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. William has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lee Kieran

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 William Lee Kieran'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 2, 2023 - Present

KEVIN KENNEDY, LLC

RIA

CRD#: 133193

Rancho Mission Viejo, CA

Past

September 21, 2015 - March 6, 2023

SEI INVESTMENTS MANAGEMENT CORP

RIA

CRD#: 105146

Lake Forrest, CA

Past

September 21, 2015 - March 6, 2023

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

Past

January 6, 2010 - September 15, 2015

CURIAN CLEARING, LLC

CRD#: 132938

DENVER, CO

Past

November 6, 2008 - September 15, 2015

CURIAN CAPITAL, LLC

RIA

CRD#: 120270

DENVER, CO

Past

November 5, 2008 - December 31, 2009

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

Past

November 8, 2007 - October 24, 2008

ICON ADVISERS, INC.

RIA

CRD#: 108268

GREENWOOD VILLAGE, CO

Past

November 8, 2007 - October 24, 2008

ICON DISTRIBUTORS, INC.

CRD#: 28568

GREENWOOD VILLAGE, CO

Past

July 15, 2005 - December 4, 2006

PERSHING LLC

CRD#: 7560

MALVERN, PA

Past

June 22, 2005 - December 4, 2006

BNY ADVISORS

RIA

CRD#: 106108

MALVERN, PA

Past

August 2, 2001 - October 14, 2003

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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
(3/2/2023)

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: 6/21/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/10/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/30/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

KEVIN KENNEDY, LLC

KEVIN KENNEDY | KEVIN KENNEDY, LLC

CRD#: 133193 / SEC#:

California

Registered Investment Advisory firm - (9/24/2004 Approved)

Louisiana

Registered Investment Advisory firm - (2/28/2022 Approved)

Texas

Registered Investment Advisory firm - (12/9/2008 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).

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Contact information

Main Address

1516 Oak Street Suite 101, Alameda, CA 94501

Mailing Address

Phone number

(510) 748-1898

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Firm Stability Insights

William L. Kieran

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Lee Kieran's CRS (Customer Relationship Summary).

Certified licenses

Experience

SEI INVESTMENTS MANAGEMENT CORP

SEI INVESTMENTS DISTRIBUTION CO.

CURIAN CLEARING, LLC

CURIAN CAPITAL, LLC

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

ICON ADVISERS, INC.

ICON DISTRIBUTORS, INC.

PERSHING LLC

BNY ADVISORS

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/21/2005

Series 63

Date: 8/10/2001

SIE

Date: 10/1/2018

Series 6

Date: 7/30/2001

Current Firm

KEVIN KENNEDY, LLC

Contact information

Documents

Red Flags

Company Information

KEVIN KENNEDY, LLC

TRUST BUT VERIFY

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