Thomas F. Kennedy

GLOBAL WEALTH ADVISORS

Houston, TX 77027

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CRD#: 5163601

Professional summary

Thomas Francis Kennedy III, CFP®, who also goes by Thomas Francis Kennedy, is a registered financial advisor currently at GLOBAL WEALTH ADVISORS located in Houston, Texas and ALTERIS CAPITAL PARTNERS, LLC located in Houston, Texas.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Thomas has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Francis 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.

1. Co-owner, GB Advisors, LLC; entity involved in ownership of Business Financial Group Human Resource Management; as of 11/01/2023; 5% of time spent during business hours; Conducted at branch location; Not Investment related. 2. Co-Owner, Business Financial Group Human Resource Management, LLC; entity involved in HR consulting, payroll processing, group benefits & tax credit services, as of 11/01/2023; 20% of time spent during business hours; conducted at branch; not investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Francis Kennedy III's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2018

Experience

Current

April 1, 2019 - Present

GLOBAL WEALTH ADVISORS

Office #1: 520 Post Oak Boulevard Suite 450, Houston, TX 77027

RIA

CRD#: 147800

Houston, TX

Current

April 1, 2025 - Present

ALTERIS CAPITAL PARTNERS, LLC

Office #1: 520 Post Oak Boulevard Suite 450, Houston, TX 77027

RIA

CRD#: 335079

HOUSTON, TX

Past

May 21, 2018 - April 5, 2025

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

Houston, TX

Past

April 2, 2018 - April 5, 2025

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

Houston, TX

Past

January 21, 2011 - April 25, 2018

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

January 8, 2008 - December 31, 2010

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900

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".

ALTERIS CAPITAL PARTNERS, LLC

CRD#: 335079 / SEC#: 801-132143

RIA

Registered Investment Advisory firm - (3/10/2025 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.

Highlighted states indicate IAR registrations

IAR

Texas
(4/1/2019)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/20/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/22/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/3/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/7/2008

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ALTERIS CAPITAL PARTNERS, LLC

CRD#: 335079 / SEC#: 801-132143

RIA

Registered Investment Advisory firm - (3/10/2025 Approved)

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Contact information

Main Address

520 Post Oak Boulevard Suite 450, Houston, TX 77027

Mailing Address

Phone number

(832) 649-8111

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A FEBRUARY 2025 (6/6/2025)

Regulatory assets under management

Total Number of Accounts	288
AUM (Assets Under Management)	$ 101,191,127

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

Thomas F. Kennedy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Francis Kennedy III's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALTERIS CAPITAL PARTNERS, LLC

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

EQUITABLE DISTRIBUTORS, LLC

Primary Firm SEC Registration

ALTERIS CAPITAL PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/20/2018

Series 63

Date: 1/22/2008

SIE

Date: 10/1/2018

Series 7

Date: 11/3/2011

Series 6

Date: 1/7/2008

Current Firm

ALTERIS CAPITAL PARTNERS, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALTERIS CAPITAL PARTNERS, LLC

TRUST BUT VERIFY

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