Kevin R. Hennessy

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CRD#: 842033

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.

Kevin Randall Hennessy was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 1977. Kevin had worked at 12 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 16, 2013 - May 29, 2013

ALPS DISTRIBUTORS, INC.

CRD#: 16853

FOLSOM, CA

Past

March 19, 2012 - September 13, 2012

CRD#: 7834

NEW YORK, NY

Past

October 9, 1995 - June 4, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

May 4, 1994 - April 11, 1995

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

NEW YORK, NY

Past

November 23, 1990 - January 18, 1994

DELAWARE DISTRIBUTORS, L.P.

CRD#: 14232

PHILADELPHIA, PA

Past

April 13, 1981 - February 11, 1982

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

February 24, 1978 - May 11, 1981

MORGAN STANLEY DW INC.

CRD#: 7556

Past

September 1, 1977 - February 24, 1978

DEAN WITTER & CO. INCORPORATED

CRD#: 6466

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/7/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/11/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/16/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/20/1990

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ALPS DISTRIBUTORS, INC.

ALPS DISTRIBUTORS, INC. | MARINER FUNDS SERVICES INC. | ALPS SECURITIES, INC. | ALPS MUTUAL FUNDS SERVICES, INC.

CRD#: 16853 / SEC#: , 8-34626

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

1290 Broadway Suite 1000, Denver, CO 80203

Mailing Address

1290 Broadway Suite 1000, Denver, CO 80203

Phone number

(303) 623-2577

Established

Colorado since 07/01/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ALPS HOLDINGS, INC.	PARENT
KYLLO, STEPHEN JOHN	SVP; PRESIDENT; DIRECTOR; CHIEF COMPLIANCE OFFICER; PRINCIPAL OPERATIONS OFFICER	3204474
NECKEL, TARA JILL	VP, DEPUTY CHIEF COMPLIANCE OFFICER	4051739
PARSONS, ERIC T	FINOP, CONTROLLER, PRINCIPAL FINANCIAL OFFICER	5215115

Disclosures

Regulatory Event

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

Kevin R. Hennessy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

ALPHA INCOME CAPITAL MANAGEMENT, LLC

FISCO INVESTMENT MANAGEMENT, L.P.

OFI PRIVATE INVESTMENTS INC

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS ASSET MANAGEMENT (US) INC.

DELAWARE DISTRIBUTORS, L.P.

PRUDENTIAL EQUITY GROUP, LLC

MORGAN STANLEY DW INC.

DEAN WITTER & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 4/7/2012

Series 63

Date: 4/11/1991

Series 7

Date: 3/16/2012

Series 6

Date: 11/20/1990

Current Firm

ALPS DISTRIBUTORS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALPS DISTRIBUTORS, INC.

TRUST BUT VERIFY

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