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NK

Nicholas J. Kenny

Some features on this profile are disabled
CRD#: 5093918
NK

Professional summary

Nicholas James Kenny, who also goes by Nick James Kenny, was a registered financial professional .

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2006. Nicholas had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nick James Kenny

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

July 15, 2020 - October 1, 2024

PFM FUND DISTRIBUTORS, INC.

BD
CRD#: 114474
ST. CHARLES, MO
Past

February 14, 2018 - July 7, 2020

LPL FINANCIAL LLC

RIA
CRD#: 6413
COLUMBIA, MO
Past

February 14, 2018 - July 7, 2020

LPL FINANCIAL LLC

BD
CRD#: 6413
COLUMBIA, MO
Past

August 22, 2013 - February 14, 2018

INVEST FINANCIAL CORPORATION

RIA
CRD#: 12984
COLUMBIA, MO
Past

April 30, 2007 - February 14, 2018

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
COLUMBIA, MO
Past

February 20, 2006 - April 30, 2007

PFIC SECURITIES CORPORATION

BD
CRD#: 34941
COLUMBIA, MO

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
Missouri
(10/1/2024)
RR
Nebraska
(10/1/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/21/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/27/2006
Uniform Securities Agent 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: 2/17/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PF
PFM FUND DISTRIBUTORS, INC.
PFM FUND DISTRIBUTORS, INC. | PFMAM, INC.

CRD#: 114474 / SEC#: , 8-53496

BD
Terminated by SEC on 12/06/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Pennsylvania since 07/16/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CLARK, SHANNON KEITHFINANCIAL & OPERATIONS PRINCIPAL5829700
WALTER, JEFFREY ADAMCHIEF COMPLIANCE OFFICER2143608

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

PFM FUND DISTRIBUTORS, INC.

CRD#: 114474

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