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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)16 years in industry

James Kennedy

Advisor at J.P. MORGAN SECURITIES LLC

FORT WAYNE, IN

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Search this name across graphsid dfx:ria:ed01628a-0936-d58d-67e8-6d66dfb8a5a1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jun 3, 2013 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: J.P. MORGAN SECURITIES LLC
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 1, 2009earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: May 31, 2013
First registration: Jun 3, 2013
Dual registered: yes, broker-dealer
Other names: JAY KENNEDY|JAMES MICHAEL KENNEDY|JAMES MICHAEL KENNEDY
IAPD individual key: 5360866

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
J.P. MORGAN SECURITIES LLC	Wirehouse	Apr 7, 2022	n/a	yes	FORT WAYNE, IN\|FORT WAYNE, IN	Current employment
PRUCO SECURITIES, LLC	No RAUM reported	Jan 20, 2021	Apr 14, 2022	no	FORT WAYNE, IN\|Indianapolis, IN	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Mar 19, 2018	Dec 31, 2020	no	Ft. Wayne, IN	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Mar 19, 2018	Jan 11, 2021	no	FT. WAYNE, IN	Previous registration
HOWARD BAILEY SECURITIES, LLC	Independent wealth	Jun 27, 2017	Jan 31, 2018	no	FORT WAYNE, IN	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Jun 3, 2013	Jan 6, 2017	no	MILLBURN, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PRUCO SECURITIES, LLC	J.P. MORGAN SECURITIES LLC	Apr 14, 2022	Apr 7, 2022	-7	Firm change	Ibd to wirehouse
TD AMERITRADE, INC.	PRUCO SECURITIES, LLC	Jan 11, 2021	Jan 20, 2021	9	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Dec 31, 2020	Mar 19, 2018	-1,018	Bulk transfer	Other
HOWARD BAILEY SECURITIES, LLC	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jan 31, 2018	Mar 19, 2018	47	Firm change	RIA to RIA
STRATEGIC ADVISERS LLC	HOWARD BAILEY SECURITIES, LLC	Jan 6, 2017	Jun 27, 2017	172	Firm change	Ibd to RIA

Relationships

Registered with (6)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: current employment
Apr 7, 2022 to presentfactForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Jan 20, 2021 to Apr 14, 2022factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Mar 19, 2018 to Jan 11, 2021factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Mar 19, 2018 to Dec 31, 2020factForm ADV
→ HOWARD BAILEY SECURITIES, LLCRegistered adviserregistration: previous registration
Jun 27, 2017 to Jan 31, 2018factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Jun 3, 2013 to Jan 6, 2017factForm ADV

Dated events

Occurred
Apr 14, 2022
Advisor changed firm
James Kennedy left Pruco Securities, Llc for J.P. Morgan Securities Llc (registered 2022-04-07)
Form ADVobserved 4 days ago