Michael L. Kennedy
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.
Michael Leander Kennedy was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6, Series 22, Series 39 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2017 - December 31, 2017
INDEPENDENT FINANCIAL GROUP, LLC
July 5, 2017 - December 31, 2017
INDEPENDENT FINANCIAL GROUP, LLC
January 2, 2009 - July 7, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 11, 2005 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 29, 2005 - July 7, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 2002 - August 2, 2005
MORGAN STANLEY DW INC.
August 23, 2001 - August 2, 2005
MORGAN STANLEY DW INC.
December 8, 2000 - August 21, 2001
TRANSAMERICA CAPITAL, LLC
June 26, 1987 - December 20, 1988
FITZGERALD, TALMAN, INC.
September 20, 1983 - February 7, 1986
BROOK INVESTMENTS, INC.
August 30, 1983 - August 2, 1985
REYNOLDS KENDRICK STRATTON, INC.
Primary Firm SEC Registration
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
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
Series 40
Date: 5/27/1977
Registered Principal ExaminationCurrent Firm
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
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.
