Peter Kennedy

Peter Kennedy Email and Phone Number

Principal at PAK Consulting, LLC @ Capital Forensics, Inc.
palatine, illinois, united states
Peter Kennedy's Location
Maplewood, New Jersey, United States, United States
Peter Kennedy's Contact Details

Peter Kennedy personal email

n/a

Peter Kennedy phone numbers

About Peter Kennedy

►Consulting capabilities include experience assisting broker/dealers, investment advisers and insurance companies with legal & compliance issues, building retail products and services, and creating 1st line of defense supervisory structures to ensure appropriate business oversight of sales, administrative and operational activities. ► Specific Skills:

Peter Kennedy's Current Company Details
Capital Forensics, Inc.

Capital Forensics, Inc.

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Principal at PAK Consulting, LLC
palatine, illinois, united states
Website:
capitalforensics.com
Employees:
56
Peter Kennedy Work Experience Details
  • Pak Consulting, Llc
    Principal
    Pak Consulting, Llc Jun 2017 - Present
    Greater New York City Area
    Current projects include1) Expert witness and other consulting services for Capital Forensics Inc, 2) Special ERISA Advisor for Vestwell LLC, and 3) Regulatory consultant for Wilde Capital Management
  • Capital Forensics, Inc.
    Senior Advisor
    Capital Forensics, Inc. Aug 2017 - Present
    Greater New York City Area
    With more than 35 years experience as an Attorney, CAO and COO for an RIA and a broker-dealer, respectively. Mr. Kennedy is a financial services expert with deep legal, regulatory and administrative capabilities, adept at analyzing complex problems and identifying and implementing business solutions. Since 1993, Capital Forensics, Inc. (CFI) has helped financial institutions, FORTUNE 500 companies and their legal advisors avoid and resolve complex, high-stakes legal and regulatory… Show more With more than 35 years experience as an Attorney, CAO and COO for an RIA and a broker-dealer, respectively. Mr. Kennedy is a financial services expert with deep legal, regulatory and administrative capabilities, adept at analyzing complex problems and identifying and implementing business solutions. Since 1993, Capital Forensics, Inc. (CFI) has helped financial institutions, FORTUNE 500 companies and their legal advisors avoid and resolve complex, high-stakes legal and regulatory challenges. CFI’s major practice areas include: Expert Testimony & Litigation Support • Regulatory & Compliance Consulting • Big Data Mining & Quantitative Analysis • Forensic Accounting • Internal Investigations • Arbitration Tools • Early Dispute Resolution • Employment Disputes. Show less
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  • Vestwell
    Special Erisa Advisor
    Vestwell Jul 2017 - Present
    Greater New York City Area
    Vestwell is a turnkey solution for financial advisers providing them with the ability to offer clients a retirement plan without taking on the risk and costs typically associated with creating one. We remove the friction points of confusion, cost and compliance overhead that come with traditional retirement plans. Vestwell’s digital platform allows for seamless plan design, automated on-boarding, and low-cost investment strategies, making it easier for employers to offer a retirement plan… Show more Vestwell is a turnkey solution for financial advisers providing them with the ability to offer clients a retirement plan without taking on the risk and costs typically associated with creating one. We remove the friction points of confusion, cost and compliance overhead that come with traditional retirement plans. Vestwell’s digital platform allows for seamless plan design, automated on-boarding, and low-cost investment strategies, making it easier for employers to offer a retirement plan. Vestwell becomes an extension of the financial advisor’s services, acting in everyone’s best interest, while scaling through technology and allowing financial advisors to focus on clients. Show less
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  • Wilde Capital Management
    Regulatory Consultant
    Wilde Capital Management Jun 2017 - Present
    Greater New York City Area
    Wilde Capital Management (WCM) provides market insight, access and investment for individuals, families and institutions seeking long-term, globally-diversified portfolios based on applying the principles of patient investing and a disciplined, transparent process to public markets. We work with Financial Advisors, Registered Investment Advisors, and Institutional Consultants to provide these services to investors, and selectively accept direct client investment.
  • Tiaa-Cref
    Managing Director
    Tiaa-Cref Jul 2008 - Feb 2017
    Greater New York City Area
    ►Managing Director and Chief Operating Officer for TIAA Individual & Institutional Services, LLC for over eight years. ►Revamped and managed several regulatory oversight functions including the Centralized Principal Review function, Branch Oversight and Administration, and Centralized Review of Insurance Replacement Transactions. Securities Registrations: Series 7 and 24. ►Interacted extensively with both Legal and Compliance Departments on the creation, amendment and implementation of… Show more ►Managing Director and Chief Operating Officer for TIAA Individual & Institutional Services, LLC for over eight years. ►Revamped and managed several regulatory oversight functions including the Centralized Principal Review function, Branch Oversight and Administration, and Centralized Review of Insurance Replacement Transactions. Securities Registrations: Series 7 and 24. ►Interacted extensively with both Legal and Compliance Departments on the creation, amendment and implementation of broker/dealer and investment advisor programs, policies and procedures. ►Extensive knowledge/experience with Broker/Dealer rules and regulations, the Investment Advisers Act, and ERISA. And Subject Matter Expert on implementation effort preparing for the Department of Labor's Investment Advice Fiduciary Rule. ►Functional representative for retail product and services developments with legal and compliance implications. Show less
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  • Ubs Financial Services
    Senior Vice President
    Ubs Financial Services 1994 - 2007
    Weehawken, Nj
    ► Chief Administrative Officer for the Managed Account Business, including trading desk responsibilities, assisting with product development, and operations. Later became manager of UBS Wealth Management third-party mutual fund platform. ► Senior Attorney/Manager for the Retail Product Group of attorneys. Handled all retail broker/dealer, investment adviser, mutual fund, and ERISA issues affecting retail financial services.
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  • Shearson Lehman Brothers, Inc
    Executive Vice President And Deputy General Counsel
    Shearson Lehman Brothers, Inc Jan 1985 - Jun 1993
    Greater New York City Area
    Deputy General Counsel for the Shearson Lehman Retail Division including responsibilities for retail brokerage, mutual funds, litigation, and investment advisory programs.
  • Emmet, Marvin & Martin Llp And Deforest & Duer
    Attorney
    Emmet, Marvin & Martin Llp And Deforest & Duer Dec 1977 - Dec 1984
    Associate attorney specializing in ERISA, Federal Taxation, and Employment

Peter Kennedy Skills

Financial Services Wealth Management Investments Series 7 Mutual Funds Retirement Planning Portfolio Management Securities Asset Management Management Investment Advisory Product Development Fixed Annuities Series 63 Leadership Retirement Risk Management Trading

Peter Kennedy Education Details

Frequently Asked Questions about Peter Kennedy

What company does Peter Kennedy work for?

Peter Kennedy works for Capital Forensics, Inc.

What is Peter Kennedy's role at the current company?

Peter Kennedy's current role is Principal at PAK Consulting, LLC.

What is Peter Kennedy's email address?

Peter Kennedy's email address is pk****@****ref.org

What is Peter Kennedy's direct phone number?

Peter Kennedy's direct phone number is (212)-490*****

What schools did Peter Kennedy attend?

Peter Kennedy attended Boston University School Of Law, Loyola University New Orleans College Of Law, College Of The Holy Cross.

What skills is Peter Kennedy known for?

Peter Kennedy has skills like Financial Services, Wealth Management, Investments, Series 7, Mutual Funds, Retirement Planning, Portfolio Management, Securities, Asset Management, Management, Investment Advisory, Product Development.

Who are Peter Kennedy's colleagues?

Peter Kennedy's colleagues are Jerry Wade, Dennis Mooradian, Kelly Raupp, Paul Bodor, Jen Evans, Maksim Kavaliou, Peter Kennedy.

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