Kevin John Prendergast

Kevin John Prendergast

CFP®

LEELYN SMITH

GENEVA, IL

·CRD# 5651358·17 years registered

About Kevin

Disclosures

Contact

Videos & Posts

Professional Background

Firm Detail

Other Business Activities

More

Professional Summary

Kevin John Prendergast, CFP® is a registered financial advisor currently at LEELYN SMITH, LLC located in Geneva, Illinois. Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Kevin has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

$250K–$500K

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Services Offered

Retirement Planning
Investment Planning
Comprehensive Financial Planning
Social Security Planning
Education Planning
Small Business Planning

Other Aliases

There are no additional aliases reported.

Blog Corner

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What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

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Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

Direct

(xxx) xxx-xxxx

Email

xxxxx@xxxx.xxx

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Credentials

CFP®

Certified Financial PlannerSince 2018

Years of Experience

17 years registered in the securities industry

Current & Past Employments

Current

LEELYN SMITH, LLCCurrent·CRD# 110517

RIA

1. 10 N. Third Street, Geneva, IL 601342. Park Ridge, IL

May 14, 2019 - Present

Past

LPL FINANCIAL LLCPast·CRD# 6413

RIA

Geneva, IL

July 10, 2019 - October 29, 2026

LPL FINANCIAL LLCPast·CRD# 6413

BD

Geneva, IL

May 6, 2019 - October 29, 2026

VALMARK SECURITIES, INC.Past·CRD# 31243

BD

Schaumburg, IL

July 16, 2012 - May 7, 2019

EFG ADVISORS, LLCPast·CRD# 165196

RIA

Schaumburg, IL

May 9, 2013 - September 21, 2017

WOODBURY FINANCIAL SERVICES, INC.Past·CRD# 421

RIA

Schaumburg, IL

June 8, 2009 - July 19, 2012

WOODBURY FINANCIAL SERVICES, INC.Past·CRD# 421

BD

Schaumburg, IL

April 20, 2009 - July 19, 2012

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Current Firm

LS

LEELYN SMITH, LLC

EMERGENT PARTNERS | THE RETIREMENT NETWORK, LTD. | THE RETIREMENT NETWORK | LEELYN SMITH, LLC

CRD#: 110517 / SEC#: 801-113460

RIA

Registered Investment Advisory firm - SEC (6/14/2018 Approved)

Illinois

Registered Investment Advisory firm - Illinois (6/19/2018 Terminated)

Texas

Registered Investment Advisory firm - Texas (12/31/2002 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).

Contact Information

Main Address

10 N. Third Street, Geneva, IL 60134

Phone Number

(630) 232-8995

# of Employees

38

SEC notice filing (16 States and Territories)

Registered to provide investment advisory services in 16 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

LEELYN SMITH, LLC FORM ADV PART 2A, APPENDIX 1 WRAP FEE BROCHURE (3/20/2026)

LEELYN SMITH, LLC FORM ADV PART 2A (3/20/2026)

Regulatory Assets Under Management

Total Number of Accounts

1,659

AUM (Assets Under Management)

$852,292,185

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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. Leelyn Smith, LLC (fka The Retirement Network, Ltd.) - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/19/2019. 2. Leelyn Smith, LLC (fka The Retirement Network, Ltd.) - Investment related - At reported business location(s) - Registered Investment Advisor Hybrid - Administrative Associate - Start date:05/19/2019 - 30 hrs/mo - 10 hrs during trading - provide administrative support to Leelyn Smith, LLC (fka The Retirement Network, Ltd.), an independent investment advisor firm. I started this business activity in 05/2019. I expect to spend approximately 30 hours per month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. No Business Name - Investment Related - 615 S Vine Ave, Park Ridge, IL 60068 - Other-Writing - Ghost Writer - Started 01/14/2020 - 5 Hours Per Month/0 Hours During Securities Trading - Independent contractor of Wentworth Financial Communications. 4. 03/12/20 - Leelyn Smith - Investment Related - 423 Williamsburg Avenue, Geneva, IL 60134 - DBA for LPL Business (entity for LPL business) - Started 2/4/2020. 5. 03/14/2022 - Leelyn Smith LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Admin - Started 08/2020 - 30 Hrs/Mo - 10 Hrs During Trading - I provide administrative support to Leelyn Smith LLC, an independent investment advisor firm. I started this business activity in 08/2020. I expect to spend approximately 30 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 6. 05/22/2023 - Emergent Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 03/01/2023

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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".

LS

LEELYN SMITH, LLC

EMERGENT PARTNERS | THE RETIREMENT NETWORK, LTD. | THE RETIREMENT NETWORK | LEELYN SMITH, LLC

CRD#: 110517 / SEC#: 801-113460

RIA

Registered Investment Advisory firm - SEC (6/14/2018 Approved)

Illinois

Registered Investment Advisory firm - Illinois (6/19/2018 Terminated)

Texas

Registered Investment Advisory firm - Texas (12/31/2002 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.

IAR

Illinois
(5/14/2019)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed May 2009About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 2009About the Series 7 exam

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CRS (Client Relationship Summary) - RIA

Click below to view Kevin John Prendergast's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Services Offered by Kevin

Retirement Planning
Investment Planning
Comprehensive Financial Planning
Social Security Planning
Education Planning
Small Business Planning

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