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Carl Kennedy

Transamerica Financial Advisors, LLC
43 Years of Experience
Alpharetta, GA
2 DisclosuresBrokerSells Insurance
View SEC Summary
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Carl Kennedy is a registered investment advisor at Transamerica Financial Advisors, LLC, based in Alpharetta, GA, with 43 years of industry experience. Carl is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 42,735 clients with $2.1B in assets under management.

Transamerica Financial Advisors, LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
1121 advisors
Number of Clients
42,735 clients
Average Client Portfolio
$49K average
Assets Under Management
$2.1B

Fee Structure

Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.75%

Maximum total annual program fees are up to 2.75% for TFA365 and third-party manager programs, and up to 2.0% for Transamerica ONE. Fees vary based on the specific program, model portfolios selected, and negotiations with your investment advisor representative.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

190 Bluegrass Valley Pkwy., Alpharetta, GA, 30005

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2007
Denied
Customer Dispute
August 2005
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Carl sells insurance and non-insurance products for companies affiliated with Transamerica Financial Advisors, Inc. He also has joint ownership of rental property in Tuttle, OK and is an owner of Kennedy & Associates in Seneca, SC, but these activities require minimal time and are not investment-related.

Employment History
Current Registrations
Transamerica Financial Advisors, LLC
January 2012 - Present · 14 yrs 9 mos
Transamerica Financial Advisors, LLCBroker
January 2012 - Present · 14 yrs 9 mos
Previous Registrations
Investment Advisors International, INC.
May 2008 - January 2012 · 3 yrs 8 mos
Intersecurities, INC.
July 2002 - December 2004 · 2 yrs 5 mos
World Group Securities, INC.Broker
March 2002 - January 2012 · 9 yrs 10 mos
Wma Securities, INC.Broker
September 1995 - April 2002 · 6 yrs 7 mos
PFS Investments INC.Broker
August 1983 - August 1995 · 12 yrs
State Registrations9 states
AZCAGANCNYOKSCTXVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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