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Detailed Report
James Kennedy
JAMES MICHAEL KENNEDY JR, JAMES MICHAEL KENNEDY, JAY KENNEDY
CRD#: 5360866
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 6704 EAST STATE BOULEVARD
FORT WAYNE, IN 46815
Registration History
20082010201220142016201820202022202420262 FIRMS2018 - 2021 (2 years)2 FIRMS2021 - 2022 (1 year)2 FIRMS2022 - Present (3 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2010 - 2017 (7 years)BMCLAUGHLIN, PIVEN, VOGEL SECUR... (CRD# 7404)2007 - 2008 (1 year)IATD AMERITRADE INVESTMENT MANAG... (CRD# 111514)2018 - 2020 (2 years)IAHOWARD BAILEY SECURITIES, LLC (CRD# 282712)2017 - 2018 (<1 year)IASTRATEGIC ADVISERS, INC. (CRD# 104555)2013 - 2017 (3 years)
License(s)

State Registrations

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Alabama 9/1/2022
B
Maryland 11/10/2022
B
Arizona 4/7/2022
B
Michigan 4/7/2022
B
California 11/21/2023
B
New Jersey 2/7/2023
B
Florida 4/7/2022
B
Ohio 4/11/2022
B
Illinois 3/17/2025
B
Tennessee 4/7/2022
B
Indiana 4/7/2022
B
Texas 2/14/2023
IA
Indiana 4/7/2022
IA
Texas 2/28/2023
B
Kentucky 4/7/2022

SRO Registrations

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 BOX Exchange LLC
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 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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J.P. MORGAN SECURITIES LLC (CRD#:79)
6704 EAST STATE BOULEVARD, FORT WAYNE, IN 46815
2601 LOWER HUNTINGTON RD, FORT WAYNE, IN 46809
Registered with this firm since 4/7/2022
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
6704 EAST STATE BOULEVARD, FORT WAYNE, IN 46815
2601 LOWER HUNTINGTON RD, FORT WAYNE, IN 46809
Registered with this firm since 4/7/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
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 01/20/2021 - 04/14/2022 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) Indianapolis, IN
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 01/20/2021 - 04/14/2022 PRUCO SECURITIES, LLC. (CRD#:5685) Indianapolis, IN
IA
 03/19/2018 - 01/11/2021 TD AMERITRADE, INC. (CRD#:7870) FT. WAYNE, IN
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 03/19/2018 - 01/11/2021 TD AMERITRADE, INC. (CRD#:7870) FT. WAYNE, IN
IA
 03/19/2018 - 12/31/2020 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) Ft. Wayne, IN
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 06/27/2017 - 01/31/2018 HOWARD BAILEY SECURITIES, LLC (CRD#:282712) FORT WAYNE, IN
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 06/03/2013 - 01/06/2017 STRATEGIC ADVISERS, INC. (CRD#:104555) MILLBURN, NJ
B
 01/26/2010 - 01/05/2017 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) MILLBURN, NJ
B
 07/24/2007 - 12/31/2008 MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC. (CRD#:7404) NEW YORK, NY
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.