KO
Kenneth A. O'neil
KPP ADVISORY SERVICES LLC
Louisville, KY 40222
Some features on this profile are disabled
CRD#: 4510809
KO
Professional summary
Kenneth Alvin O'neil is a registered financial advisor currently at KPP ADVISORY SERVICES LLC located in Louisville, Kentucky and LPL FINANCIAL LLC located in Louisville, Kentucky.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Kenneth has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 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.
1. 12/13/2006 - KENTUCKY PLANNING PARTNERS - INV REL - AT REPORTED BUSINESS LOCATION - DBA for LPL Business (entity for LPL business) - 99% TIME SPENT. 2. 01/04/2012 - K.O. Investments LLC. - Business Entity For Tax/Investment Purposes Only - INV REL - AT REPORTED BUSINESS LOCATION - Tax shell for securities business - 1% TIME SPENT. 3. 05/25/2015 - KENTUCKY PLANNING PARTNERS LLC - NON-VARIABLE INSURANCE - INV REL - AT REPORTED BUSINESS LOCATION - As co-owner of KPP, we plan to have one of our advisors help various existing clients with their Medicare insurance plan and possible help them utilize the health insurance options provided as a result of the Affordable Care Act. All of this business will run through AgentLink a local general agent and compensation will be paid directly to KPP LLC. Jeannie Samdani our local Medicare and ACA expert, will than receive 50% of the compensation paid. As co-owner of KPP I wanted to make sur this passive Outside business activity was disclosed. WE have gone ahead and purchased the extra outside Errors and Omissions insurance through LPL which will hit our commission auto once approved. I see less than 1% of our total revenue coming from this activity and we plan to spend less than one hour per week in this area - OBA START 5/31/2015 - 2 HRS PER MONTH/0 HRS DURING TRADING. 4. 02/10/2016 - NO BUSINESS NAME - Non-Variable Insurance - INV REL - AT REPORTED BUSINESS LOCATION - Financial Advisor, President KPP yes we are all other than the assistants in this office licensed I need to be approved to sell LTC working with LTCi company now that LTC is not being offered through LPL Insurance associates - OBA START 02/02/2016 - 10 HRS PER MONTH/5 HRS DURING TRADING. 5. 11/2/2017 - KPP Advisory Services LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 10/02/2017 - 40 Hours Per Month During Securities Trading - I provide investment advisory services through KPP Advisory Services LLC, an independent investment advisor firm. I started this business activity in 10/2017. I expect to spend approximately 40 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 6. 01/22/2018 - CRUMP - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - We are using fixed insurance through CRUMP which is an outside general agency - Start Date 01/12/2018 - 3 Hours Per Month / 0 Hours During Trading. 7. 9/15/2018 - The Guardian - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 08/28/2018 - 2 Hours Per Month/2 Hours During Securities Trading - Write DI polices. 8. 07/29/2021 - Team Jedi Properties, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 08/01/2021 - 1 Hour Per Month/0 Hours During Securities Trading - Team Jedi Properties LLC is 1/8th of Destin Sandestin Hospitality, LLC. 9. 8/5/2021 - Levinson and Associates - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 6/11/2021 - 2 Hours Per Month/1 Hours During Securities Trading. 10. 09/09/2021 - Destin Sandestin Hospitality, LLC - Not Investment Related - 13121 Eastpoint Park Blvd Suite B, Louisville, KY 40223 - Business Entity For Tax/Investment Purposes Only - Start Date: 08/01/2021 - 1 Hour Per Month/0 Hours During Securities Trading. 11. 12/7/2022 - ROKE, LLC - Investment Related - Somerset, KY 42501 - Real Estate Rental - Start Date - 01/01/2023 - 1 Hours Per Month/0 Hours During Securities Trading 12. 08/15/2023 - Fly with Ken - Other - Reps Business - Home Based/ Water Sport - Not Investment Related - Start Date 08/31/2023 - 4 Hours Per Month/ 0 Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Alvin O'neil'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®
NoneExperience
Current
October 5, 2017 - Present
KPP ADVISORY SERVICES LLC
Office #1: 9300 Shelbyville Rd. Suite 1310, Louisville, KY 40222RIA
CRD#: 289507
Louisville, KY
Current
December 11, 2006 - Present
LPL FINANCIAL LLC
Office #1: 9300 Shelbyville Rd Ste. 1310, Louisville, KY 40222-5170RIA
BD
CRD#: 6413
LOUISVILLE, KY
Past
December 13, 2006 - February 27, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT LAUDERDALE, FL
Past
July 5, 2005 - December 12, 2006
NEW ENGLAND SECURITIES
BD
CRD#: 615
LOUISVILLE, KY
Past
June 11, 2002 - July 6, 2005
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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".
KA
KPP ADVISORY SERVICES LLC
DOWDY ROY FINANCIAL | ROI FINANCIAL | MONEY411 | KPPARTNERS ADVISORY SERVICES, LLC | KPP ADVISORY SERVICES, LLC | KPP ADVISORY SERVICES LLC
CRD#: 289507 / SEC#: 801-111709
RIA
Registered Investment Advisory firm - (9/15/2017 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.RR
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
RR
Alabama(8/26/2015)
RR
Alaska(8/24/2015)
RR
Arizona(1/26/2023)
RR
California(6/5/2014)
RR
Colorado(12/11/2006)
RR
Delaware(6/6/2014)
RR
District of Columbia(6/5/2014)
RR
Florida(4/28/2010)
RR
Georgia(2/16/2012)
RR
Illinois(6/19/2013)
RR
Indiana(12/11/2006)
RR
Kansas(8/27/2012)
RR
Kentucky(12/11/2006)
IAR
Kentucky(10/10/2017)
RR
Louisiana(11/21/2011)
RR
Maine(12/23/2014)
RR
Maryland(7/22/2015)
RR
Massachusetts(8/18/2020)
RR
Michigan(12/11/2006)
RR
Minnesota(6/5/2014)
RR
Mississippi(4/18/2008)
RR
Missouri(1/22/2008)
RR
Nevada(3/29/2022)
RR
New Jersey(2/15/2022)
RR
New York(8/31/2015)
RR
North Carolina(8/30/2012)
RR
Ohio(9/30/2011)
RR
Oklahoma(8/24/2015)
RR
Oregon(8/19/2022)
RR
Pennsylvania(8/29/2013)
RR
South Carolina(6/5/2014)
RR
Tennessee(7/28/2021)
RR
Texas(2/17/2012)
IAR
Texas(10/6/2017)
RR
Vermont(4/18/2012)
RR
Virginia(2/3/2011)
RR
Washington(1/16/2020)
RR
West Virginia(5/18/2020)
RR
Wisconsin(10/5/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KPP ADVISORY SERVICES LLC
DOWDY ROY FINANCIAL | ROI FINANCIAL | MONEY411 | KPPARTNERS ADVISORY SERVICES, LLC | KPP ADVISORY SERVICES, LLC | KPP ADVISORY SERVICES LLC
CRD#: 289507 / SEC#: 801-111709
RIA
Registered Investment Advisory firm - (9/15/2017 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9300 Shelbyville Rd. Suite 1310, Louisville, KY 40222
Mailing Address
Phone number
(502) 394-0400
Established
Firm type
Fiscal year end
# of Employees
35
SEC notice filing (26 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,405 |
| AUM (Assets Under Management) | $ 874,251,636 |
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
KPP ADVISORY SERVICES LLC
CRD#: 289507Louisville, KY 40222TRUST BUT VERIFY
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