Thomas P. Kennett
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Paul Kennett, who also goes by Thomas Paul Kennett, Tom Kennett, Thomas Kennett, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1976. Thomas had worked at 15 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2016 - October 11, 2016
AVANTAX ADVISORY SERVICES
June 29, 2016 - October 11, 2016
AVANTAX INVESTMENT SERVICES, INC.
March 30, 2015 - July 10, 2015
GROWTH CAPITAL SERVICES, INC.
February 13, 2015 - July 10, 2015
GROWTH CAPITAL SERVICES, INC.
May 24, 2010 - September 30, 2013
STRATIFI, LLC
January 6, 2010 - May 7, 2012
GROWTH CAPITAL SERVICES, INC.
November 25, 2008 - July 27, 2009
NIEMANN CAPITAL MANAGEMENT INC
June 6, 2008 - June 13, 2008
ESPOSITO SECURITIES, LLC
September 18, 2007 - October 14, 2008
GROWTH CAPITAL SERVICES, INC.
April 4, 2006 - October 5, 2006
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
March 22, 2006 - October 5, 2006
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
June 8, 2005 - October 17, 2005
EQUITABLE ADVISORS, LLC
June 30, 2004 - October 17, 2005
MONY SECURITIES CORPORATION
February 10, 2004 - June 17, 2004
INVESTORS CAPITAL CORP.
August 23, 1996 - October 28, 1996
KELMOORE INVESTMENT COMPANY, INC.
November 19, 1989 - November 10, 1995
OSAIC WEALTH, INC.
June 22, 1987 - May 31, 1989
AGFC INVESTMENT SECURITIES
April 15, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
April 1, 1976 - May 10, 1978
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
