Kevin John Prendergast
CFP®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
Fiduciary Standard
Fee Structure
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.
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VERTEX PARTNERS
THE DALA GROUP, LLC
J.P. MORGAN SECURITIES LLC
INDEPENDENT FINANCIAL GROUP, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
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VERTEX PARTNERS
THE DALA GROUP, LLC
J.P. MORGAN SECURITIES LLC
INDEPENDENT FINANCIAL GROUP, LLC
Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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THE DALA GROUP, LLC
J.P. MORGAN SECURITIES LLC
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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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VERTEX PARTNERS
THE DALA GROUP, LLC
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Credentials
Years of Experience
17 years registered in the securities industry
Current & Past Employments
Current
Past
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THE DALA GROUP, LLC
J.P. MORGAN SECURITIES LLC
INDEPENDENT FINANCIAL GROUP, LLC
Current Firm
EMERGENT PARTNERS | THE RETIREMENT NETWORK, LTD. | THE RETIREMENT NETWORK | LEELYN SMITH, LLC
Contact Information
Main Address
10 N. Third Street, Geneva, IL 60134Phone Number
(630) 232-8995# of Employees
38SEC notice filing (16 States and Territories)
Registered to provide investment advisory services in 16 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
1,659AUM (Assets Under Management)
$852,292,185Similar Advisors
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THE DALA GROUP, LLC
J.P. MORGAN SECURITIES LLC
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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.
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VERTEX PARTNERS
THE DALA GROUP, LLC
J.P. MORGAN SECURITIES LLC
INDEPENDENT FINANCIAL GROUP, LLC
Primary Firm SEC Registration
EMERGENT PARTNERS | THE RETIREMENT NETWORK, LTD. | THE RETIREMENT NETWORK | LEELYN SMITH, LLC
State Registrations and Notice Filings
(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.
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THE DALA GROUP, LLC
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CRS (Client Relationship Summary) - RIA
Click below to view Kevin John Prendergast's 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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VERTEX PARTNERS
THE DALA GROUP, LLC
J.P. MORGAN SECURITIES LLC
INDEPENDENT FINANCIAL GROUP, LLC