Jeffrey S. Mckenna
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jeffrey Scott Mckenna, who also goes by Jeff Scott Mckenna, Jeffrey Mckenna, Jeffrey Scott Mckenna, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 2005. Jeffrey had worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2025 - July 3, 2025
PRINCIPAL ADVISED SERVICES
February 3, 2025 - July 3, 2025
PRINCIPAL SECURITIES, INC.
March 28, 2022 - December 7, 2023
VANGUARD ADVISERS, INC.
February 28, 2022 - December 7, 2023
VANGUARD MARKETING CORPORATION
December 20, 2017 - January 3, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 19, 2017 - January 3, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 9, 2014 - May 25, 2017
T. ROWE PRICE ADVISORY SERVICES, INC.
June 9, 2014 - May 25, 2017
T. ROWE PRICE INVESTMENT SERVICES, INC.
April 10, 2007 - March 6, 2009
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
November 9, 2005 - March 1, 2007
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 2/25/2022
General Securities Representative ExaminationCurrent Firm
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16,940 |
| AUM (Assets Under Management) | $ 887,316,440 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 09/22/2023 |
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.
