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Daniel Patrick Kennedy

Investment Adviser Representative at RBC CAPITAL MARKETS, LLC

Providence, RICRD #1272936Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
42 yrs
States Registered
23 states
Exams Passed
10

Registrations & licenses

Registration type
Dual-registered
Registered in 23 states
AlabamaCaliforniaColoradoConnecticutFloridaIllinoisMaineMarylandMassachusettsMinnesotaNevadaNew HampshireNew JerseyNew YorkNorth CarolinaOhioOklahomaPennsylvaniaRhode IslandTexasVermontVirginiaWisconsin
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 12/30/1993
Series 63
Uniform Securities Agent State Law Examination
Passed 7/24/1984
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 9/28/2004
Series 7
General Securities Representative Examination
Passed 12/20/1986
Series 22
Direct Participation Programs Representative Examination
Passed 5/2/1985
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 6/28/1984
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 1/2/2023
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 1/2/2023
Series 8
General Securities Sales Supervisor Examination (Options Module & General Module)
Passed 3/21/1991

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

RBC Capital Markets, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

RBC CAPITAL MARKETS, LLCCurrent
1/5/2007Providence, RI
RBC CAPITAL MARKETS, LLCCurrent
1/5/2007North Falmouth, MA
CITIGROUP GLOBAL MARKETS INC.
2/21/20061/18/2007Providence, RI
LEGG MASON WOOD WALKER INC
7/28/20042/21/2006Providence, RI

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Daniel Patrick Kennedy has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Daniel Patrick Kennedy - Financial Advisor in Providence, RI | AdvisorFinder