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CK

Christopher B. Kennedy

Some features on this profile are disabled
CRD#: 4498061
CK

Professional summary

Christopher Booth Kennedy was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Christopher is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, Christopher had worked at 5 firms, which includes WESTERN INTERNATIONAL SECURITIES INC., SPARTAN CAPITAL SECURITIES LLC, FINANCIAL WEST GROUP, CETERA ADVISORS LLC, RBC CAPITAL MARKETS LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chris B. Kennedy | Chris 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 2, 2019 - September 27, 2021

WESTERN INTERNATIONAL SECURITIES, INC.

RIA
CRD#: 39262
Woodland Hills, CA
Past

December 2, 2019 - September 27, 2021

WESTERN INTERNATIONAL SECURITIES, INC.

BD
CRD#: 39262
Woodland Hills, CA
Past

July 10, 2019 - December 23, 2019

SPARTAN CAPITAL SECURITIES, LLC

BD
CRD#: 146251
NEW YORK, NY
Past

August 21, 2017 - July 10, 2019

WESTERN INTERNATIONAL SECURITIES, INC.

RIA
CRD#: 39262
Tarzana, CA
Past

August 21, 2017 - July 10, 2019

WESTERN INTERNATIONAL SECURITIES, INC.

BD
CRD#: 39262
Tarzana, CA
Past

January 27, 2009 - August 21, 2017

FINANCIAL WEST GROUP

RIA
CRD#: 16668
Tarzana, CA
Past

January 27, 2009 - August 21, 2017

FINANCIAL WEST GROUP

BD
CRD#: 16668
Tarzana, CA
Past

December 7, 2007 - February 6, 2008

CETERA ADVISORS LLC

RIA
CRD#: 10299
WOODLAND HILLS, CA
Past

December 7, 2007 - February 6, 2008

CETERA ADVISORS LLC

BD
CRD#: 10299
WOODLAND HILLS, CA
Past

April 15, 2002 - August 30, 2007

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
WOODLAND HILLS, CA
Past

March 19, 2002 - August 30, 2007

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
WOODLAND HILLS, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/10/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/18/2002
General Securities Representative Examination

Current Firm

WI
WESTERN INTERNATIONAL SECURITIES, INC.
WESTERN INTERNATIONAL SECURITIES | WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262 / SEC#: 801-68953, 8-48572

BD
Terminated by SEC on 10/11/2025
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Contact information

Main Address
70 South Lake Avenue Suite 700, Pasadena, CA 91101
Mailing Address
Phone number
(888) 793-7717
Established
Colorado since 04/14/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
407

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

WIS FORM ADV 2A BROCHURE MARCH 2025 (3/28/2025)
WIS WRAP CONTOUR BROCHURE MARCH 2025 (3/28/2025)

Direct owners and executive officers

NamePositionCRD#
CONCEPT BROKERAGE HOLDING CORPORATIONHOLDING COMPANY
MORRISSEY, WILLIAM PAULPRESIDENT1575389
SIMONSON, MARY KATHRYNCHIEF COMPLIANCE OFFICER1297398
TYMKIW, TRISHA LYNNFINOP3197368

Regulatory assets under management

Total Number of Accounts10,904
AUM (Assets Under Management)$ 3,512,564,746

Disclosures

Regulatory Event15
Civil Event1
Arbitration5

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/05/2024
Cover Page
Report
06/28/2024
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.

Company Information

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

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