Michael R. Kennedy

CALPA ADVISORS LLC

Kirkland, WA 98033

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CRD#: 4949439

Professional summary

Michael Richard Kennedy, who also goes by Michael R Kennedy, is a registered financial advisor currently at CALPA ADVISORS LLC located in Kirkland, Washington and BUTLER CAPITAL PARTNERS located in Old Westbury, New York.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Michael has worked at 7 firms and has passed the Series 63, Series 65, Series 66, Series 7TO, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael R 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.

As disclosed in Section 12, Mr. Kennedy is the sole Managing Member of Calpa Advisors LLC ("Calpa Advisors") and Calpa Strategies ("Calpa Strategies") . Calpa Advisors is an investment adviser registered with the SEC. Calpa Advisors provides pension consulting services to sponsors of qualified plans. Calpa Strategies offers general intellectual property and index consulting services. Approximately 40+ hours a week is dedicated to these entities during market trading hours. Butler Capital Partners, investment related - yes, 11250 Kirkland Way, Suite 100, Kirkland, Washington 98033, broker-dealer, registered representative, September 26, 2022, 3 hours/month, 3 hours/month during trading hours, Acts as a placement agent in marketing and recommending private funds to institutional investors.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Richard 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®

None

Experience

Current

February 8, 2022 - Present

CALPA ADVISORS LLC

Office #1: 11250 Kirkland Way Suite 100, Kirkland, WA 98033

RIA

CRD#: 318008

Kirkland, WA

Current

December 12, 2022 - Present

BUTLER CAPITAL PARTNERS

CRD#: 114242

OLD WESTBURY, NY

Past

April 8, 2009 - September 7, 2011

D.A. DAVIDSON & CO.

RIA

CRD#: 199

SEATTLE, WA

Past

April 8, 2009 - September 7, 2011

D.A. DAVIDSON & CO.

CRD#: 199

SEATTLE, WA

Past

January 1, 2009 - April 9, 2009

RA BENCH, INC

RIA

CRD#: 108011

SEATTLE, WA

Past

February 13, 2008 - April 9, 2009

OSAGE INVESTMENTS, INC.

CRD#: 118539

BOCA RATON, FL

Past

July 19, 2006 - September 13, 2007

CLARK SECURITIES, INC.

CRD#: 43803

GREENSBORO, NC

Past

August 5, 2005 - May 3, 2006

DEAM INVESTOR SERVICES, INC.

CRD#: 754

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".

CALPA ADVISORS LLC

CRD#: 318008 / SEC#: 801-131087

RIA

Registered Investment Advisory firm - (9/11/2024 Approved)

Washington

Registered Investment Advisory firm - (11/25/2024 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).

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.

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

New York
(1/3/2023)

IAR

Washington
(2/8/2022)

Washington
(1/3/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 12/22/2022

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/3/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/30/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/10/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/19/2022

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/17/2006

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/4/2005

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CALPA ADVISORS LLC

CRD#: 318008 / SEC#: 801-131087

RIA

Registered Investment Advisory firm - (9/11/2024 Approved)

Washington

Registered Investment Advisory firm - (11/25/2024 Terminated)

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Contact information

Main Address

11250 Kirkland Way Suite 100, Kirkland, WA 98033

Mailing Address

4225 335th Pl Se Po Box 207, Fall City, WA 98024

Phone number

(310) 418-1683

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (2/21/2025)

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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Advisor Monitoring

Firm Stability Insights

Michael R. Kennedy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Richard Kennedy's CRS (Customer Relationship Summary).

Certified licenses

Experience

BUTLER CAPITAL PARTNERS

D.A. DAVIDSON & CO.

D.A. DAVIDSON & CO.

RA BENCH, INC

OSAGE INVESTMENTS, INC.

CLARK SECURITIES, INC.

DEAM INVESTOR SERVICES, INC.

Primary Firm SEC Registration

CALPA ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/22/2022

Series 65

Date: 12/3/2021

Series 66

Date: 12/30/2008

Series 7TO

Date: 12/10/2022

SIE

Date: 10/19/2022

Series 3

Date: 1/17/2006

Series 7

Date: 8/4/2005

FINRA

Current Firm

CALPA ADVISORS LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

CALPA ADVISORS LLC

TRUST BUT VERIFY

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