Mark Joseph Kennedy
Professional Summary
Mark Joseph Kennedy is a registered financial advisor currently at MONORAIL SECURITIES LLC located in Sarasota, Florida and HD MONEY, INC. located in Sarasota, Florida. Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. Mark has worked at 10 firms and has passed the Series 65, Series 63, Series 55, Series 15, Series 5, Series 7, Series 24, Series 27, Series 12 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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.
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Years of Experience
47 years in the financial services industry
Current & Past Employments
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Current Firm
MONORAIL SECURITIES | VIMVEST SECURITIES, LLC | MONORAIL SECURITIES LLC
Contact Information
Main Address
3322 Bee Ridge Rd Suite 200, Sarasota, FL 34239Phone Number
(941) 925-2121# of Employees
7SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
2,403AUM (Assets Under Management)
$388,662,775Similar Advisors
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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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OSAIC WEALTH, INC.
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Primary Firm SEC Registration
MONORAIL SECURITIES | VIMVEST SECURITIES, LLC | MONORAIL SECURITIES LLC
State Registrations and Notice Filings
(8/29/2018)
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 55 — Limited Representative-Equity Trader Exam
Passed Feb 1999Series 15 — Foreign Currency Options Examination
Passed Dec 1982Series 5 — Interest Rate Options Examination
Passed Oct 1981Series 12 — NYSE Branch Manager Examination
Passed Apr 1984Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Mark Joseph Kennedy's CRS (Customer Relationship Summary).
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