PK
Paul Kennedy
CETERA INVESTMENT ADVISERS LLC
LONGMEADOW, MA
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CRD#: 8012557
PK
Professional summary
Paul Kennedy, who also goes by Paul Michael Kennedy, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Longmeadow, Massachusetts and CETERA WEALTH SERVICES, LLC located in Longmeadow, Massachusetts.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2025. Paul has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paul Michael 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)FORREST INVESTMENT SERVICES POSITION: IAR/Agent NATURE: This is the entity through which I provide Avantax Wealth Management services. I provide advice, as well as investment guidance and products, to my clients. INVESTMENT RELATED: Yes NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 130 START DATE: 11/13/2024 ADDRESS: 22 Brookwood Dr, Longmeadow MA 01106, United States DESCRIPTION: I provide investment advice as well as investment guidance on available products to my clients. I will also be soliciting new clients and opening new accounts for this entity. 2) FORREST INVESTMENT SERVICES POSITION: IAR/Agent NATURE: This is the entity through which I provide Avantax Wealth Management services. I provide advice, as well as investment guidance and products, to my clients. INVESTMENT RELATED: Yes NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 130 START DATE: 05/19/2025 ADDRESS: 22 Brookwood Dr, Longmeadow MA 01106, United States DESCRIPTION: I provide investment advice as well as investment guidance on available products to my clients. I will also be soliciting new clients and opening new accounts for this entity.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Kennedy's 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®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
LONGMEADOW, MA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Longmeadow, MA
Past
May 19, 2025 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Escondido, CA
Past
January 17, 2025 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Longmeadow, MA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
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
RR
California(9/5/2025)
IAR
California(9/5/2025)
RR
Connecticut(9/5/2025)
RR
Florida(9/5/2025)
RR
Maryland(9/5/2025)
RR
Massachusetts(9/5/2025)
IAR
Massachusetts(9/5/2025)
RR
New York(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/17/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
