RK
Rick E. Kennedy
J.P. MORGAN INSTITUTIONAL INVESTMENTS
Columbus, OH 43240
Some features on this profile are disabled
CRD#: 4711886
RK
Professional summary
Rick E Kennedy, who also goes by Rick Eugene Kennedy, is a registered financial professional currently at J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. located in Columbus, Ohio.
Rick is registered as a RR (Registered Representative) and started their career in finance in 2003. Rick has worked at 2 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rick Eugene 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.
CRS (Client Relationship Summary) - BD
Click below to view Rick E Kennedy'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
January 26, 2005 - Present
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
Office #1: 1111 Polaris Parkway, Columbus, OH 43240BD
CRD#: 102920
Columbus, OH
Past
September 19, 2003 - January 3, 2005
JPMORGAN FLEMING ASSET MANAGEMENT
RIA
CRD#: 107247
INDIANAPOLIS, IN
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(3/28/2005)
RR
Alaska(3/12/2014)
RR
Arizona(3/28/2005)
RR
Arkansas(3/28/2005)
RR
California(3/28/2005)
RR
Colorado(3/28/2005)
RR
Connecticut(3/28/2005)
RR
Delaware(3/28/2005)
RR
District of Columbia(3/28/2005)
RR
Florida(3/28/2005)
RR
Georgia(3/28/2005)
RR
Hawaii(3/12/2014)
RR
Idaho(3/28/2005)
RR
Illinois(3/28/2005)
RR
Indiana(1/26/2005)
RR
Iowa(3/28/2005)
RR
Kansas(3/28/2005)
RR
Kentucky(3/28/2005)
RR
Louisiana(3/28/2005)
RR
Maine(3/28/2005)
RR
Maryland(3/28/2005)
RR
Massachusetts(3/28/2005)
RR
Michigan(3/28/2005)
RR
Minnesota(3/28/2005)
RR
Mississippi(3/28/2005)
RR
Missouri(3/28/2005)
RR
Montana(3/28/2005)
RR
Nebraska(3/28/2005)
RR
Nevada(3/28/2005)
RR
New Hampshire(3/28/2005)
RR
New Jersey(3/28/2005)
RR
New Mexico(3/28/2005)
RR
New York(1/26/2005)
RR
North Carolina(3/28/2005)
RR
North Dakota(3/28/2005)
RR
Ohio(3/29/2005)
RR
Oklahoma(3/28/2005)
RR
Oregon(3/28/2005)
RR
Pennsylvania(3/28/2005)
RR
Puerto Rico(3/12/2014)
RR
Rhode Island(3/28/2005)
RR
South Carolina(3/28/2005)
RR
South Dakota(3/28/2005)
RR
Tennessee(9/7/2010)
RR
Texas(3/28/2005)
RR
Utah(3/28/2005)
RR
Vermont(3/28/2005)
RR
Virginia(3/28/2005)
RR
Washington(3/28/2005)
RR
West Virginia(3/28/2005)
RR
Wisconsin(3/28/2005)
RR
Wyoming(3/28/2005)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
JM
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
J. P. MORGAN ADVISORS, INC. | J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. | J.P. MORGAN INSTITUTIONAL INVESTMENTS | J.P. MORGAN
CRD#: 102920 / SEC#: 801-64031, 8-52182
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
383 Madison Avenue, New York, NY 10179
Mailing Address
480 Washington Blvd, Floor 11 Ny1-f019, Jersey City, NJ 07310-1616
Phone number
(201) 595-1958
Established
Delaware since 05/26/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
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.
