KK
Kristin H. Kennedy
CAPITOL SECURITIES MANAGEMENT
Boston, MA 02109
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CRD#: 858642
KK
Professional summary
Kristin Hunnibell Kennedy, who also goes by Kristin Lee Hunnibell, is a registered financial professional currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Boston, Massachusetts.
Kristin is registered as a RR (Registered Representative) and started their career in finance in 1978. Kristin has worked at 3 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 14, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kristin Lee Hunnibell
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.
CRS (Client Relationship Summary) - BD
Click below to view Kristin Hunnibell 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
October 25, 2023 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 50 Congress Street Suite 700, Boston, MA 02109RIA
BD
CRD#: 14169
Boston, MA
Past
April 8, 1983 - January 3, 2024
WOOD (ARTHUR W.) COMPANY, INC.
BD
CRD#: 3798
BOSTON, MA
Past
November 1, 1978 - June 9, 1992
BARRETT & COMPANY
BD
CRD#: 1175
PROVIDENCE, RI
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".
CS
CAPITOL SECURITIES MANAGEMENT, INC.
CAPITOL SECURITIES MANAGEMENT, INC. | IFS SECURITIES, INC. | FS SECURITIES, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
RIA
Registered Investment Advisory firm - SEC (3/16/1992 Approved)California
Registered Investment Advisory firm - SEC (2/23/2001 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(11/1/2023)
RR
Alaska(10/30/2023)
RR
California(10/26/2023)
RR
Florida(10/30/2023)
RR
Maine(11/1/2023)
RR
Massachusetts(10/31/2023)
RR
Nevada(10/26/2023)
RR
New Jersey(2/21/2025)
RR
North Carolina(11/2/2023)
RR
Pennsylvania(11/1/2023)
RR
Rhode Island(11/1/2023)
RR
South Dakota(11/2/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/25/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CAPITOL SECURITIES MANAGEMENT, INC.
CAPITOL SECURITIES MANAGEMENT, INC. | IFS SECURITIES, INC. | FS SECURITIES, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
RIA
Registered Investment Advisory firm - SEC (3/16/1992 Approved)California
Registered Investment Advisory firm - SEC (2/23/2001 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
4050 Innslake Drive Suite 250, Glen Allen, VA 23060
Mailing Address
4050 Innslake Drive Suite 250, Glen Allen, VA 23060
Phone number
(804) 612-9700
Established
Virginia since 03/22/1981
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
170
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169Boston, MA 02109TRUST BUT VERIFY
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