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STEVEN L. KENNEDY
STEVEN KENNEDY
CRD#: 5437727
IA
B
PRIVATE ADVISOR GROUP, LLCCRD#: 155216 80 Wolf Road, Ste. 301
Albany, NY 12205
Albany, NY 12205
LPL FINANCIAL LLCCRD#: 6413 80 WOLF RD STE 301
ALBANY, NY 12205-2608
ALBANY, NY 12205-2608
0
Disclosures
16
Years of Experience
View By:
State Registrations
B
Alabama 1/20/2023
B
New York 3/4/2016
B
Arizona 1/20/2023
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New York 5/24/2021
B
California 1/20/2023
B
North Carolina 1/23/2023
B
Colorado 1/11/2023
B
Pennsylvania 1/20/2023
B
Connecticut 1/12/2023
B
South Carolina 1/20/2023
B
Florida 1/11/2023
B
Tennessee 1/20/2023
B
Louisiana 1/11/2023
IA
Texas 7/31/2024
B
Maine 1/20/2023
B
Utah 1/20/2023
B
Maryland 1/11/2023
B
Vermont 1/20/2023
B
Massachusetts 1/20/2023
B
Virginia 1/13/2023
B
Nevada 1/20/2023
B
Washington 1/20/2023
B
New Hampshire 1/20/2023
B
West Virginia 1/20/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 3/10/2016
B
Registered with this firm since 3/4/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 03/04/2015 - 12/31/2015 | ROCHESTER, NY | |
IA | 07/02/2013 - 03/19/2015 | LATHAM, NY | |
B | 06/21/2013 - 03/19/2015 | LATHAM, NY | |
IA | 08/03/2010 - 05/14/2013 | ALBANY, NY | |
B | 08/03/2010 - 05/14/2013 | ALBANY, NY | |
IA | 04/07/2009 - 06/30/2010 | CLIFTON PARK, NY | |
B | 12/03/2007 - 06/30/2010 | CLIFTON PARK, 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.
IA
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.