Peter Kennedy Email & Phone Number

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

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

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

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.

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

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.

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.

Associate attorney specializing in ERISA, Federal Taxation, and Employment

Master Of Laws (Llm) Federal Taxation, Federal Taxation

Doctor Of Law (Jd), Top Quarter Of Class

Bachelor Of Arts (B.A.), English Language And Literature, General

In addition to English, also studied Philosophy, History and Economics