Nicholas D. Kennedy

THREE RIVERS EXECUTIVE CONSULTING

Wexford, PA 15090

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CRD#: 6071265

Professional summary

Nicholas Dean Kennedy, CFP® is a registered financial advisor currently at THREE RIVERS EXECUTIVE CONSULTING, LLC located in Wexford, Pennsylvania and PURSHE KAPLAN STERLING INVESTMENTS located in Wexford, Pennsylvania.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Nicholas has worked at 4 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

*****Fixed Insurance - Investment Related - 3000 Stonwood Dr. Ste 330 Wesford, PA 15090 - Fixed Insurance - Agent 1/1/2020 - 10 hr/month - 10 trading hrs/mo - Sales of Fixed/ Traditional/Variable Life and Annuity products. *****Three Rivers Executive Consulting - Investment Related - 241 Whetherburn Dr. Wexford, PA 15090 - Investment Advice - President, Owner - 1/1/2021 - 160 hours a month - 100% security trading hours - owner of RIA firm. *****North Park Manor Homeowner's Association. Not Investment Related. Located at 1 Wetherburn Dr, Downingtown, PA 19335. Nature - HOA. Position - Board President. Start - 7/1/2022. 1 hour per month, not during trading hours. Duties - manage decisions around the overall upkeep of the neighborhood. *****Purshe Kaplan Sterling. Investment Related. Located at 3000 Stonewood Dr, Suite 330, Wexford, PA 15090. Nature - Broker Dealer products. Position- Registered Representative. Start - 01/07/2021. 10 hours per month, 10 hours during trading hours. *****Birmingham Foundation. Not Investment Related. Located at 320 Brownsville Rd, Pittsburgh, PA 15210. Nature Board of Directors. Position - Board Member. Start - 10/15/222. 1 hour per month, 1 hour per trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Dean Kennedy'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: 2014

Experience

Current

January 15, 2021 - Present

THREE RIVERS EXECUTIVE CONSULTING, LLC

Office #1: 3000 Stonewood Dr Suite 330, Wexford, PA 15090

RIA

CRD#: 311549

Wexford, PA

Current

January 4, 2021 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 3000 Stonewood Drive Suite 330, Wexford, PA 15090

CRD#: 35747

Wexford, PA

Past

September 3, 2013 - January 5, 2021

OSAIC FA, INC.

RIA

CRD#: 3978

SEWICKLEY, PA

Past

September 3, 2013 - January 5, 2021

OSAIC FA, INC.

CRD#: 3978

SEWICKLEY, PA

Past

October 29, 2012 - September 5, 2013

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

PITTSBURGH, PA

Past

September 11, 2012 - September 5, 2013

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

PITTSBURGH, PA

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.

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

California
(1/4/2021)

Florida
(1/4/2021)

Kansas
(9/30/2021)

Ohio
(1/4/2021)

Pennsylvania
(1/4/2021)

IAR

Pennsylvania
(1/15/2021)

West Virginia
(1/4/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/26/2012

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/10/2012

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

THREE RIVERS EXECUTIVE CONSULTING, LLC

CRD#: 311549 / SEC#: 801-123205

RIA

Registered Investment Advisory firm - (7/18/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/17/2023 Approved)

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).

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Contact information

Main Address

3000 Stonewood Dr Suite 330, Wexford, PA 15090

Mailing Address

Phone number

(412) 293-4500

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	125
AUM (Assets Under Management)	$ 67,151,742

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

Nicholas D. Kennedy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Dean Kennedy's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

OSAIC FA, INC.

OSAIC FA, INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/26/2012

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/10/2012

FINRA

Current Firm

THREE RIVERS EXECUTIVE CONSULTING, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THREE RIVERS EXECUTIVE CONSULTING, LLC

TRUST BUT VERIFY

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