Peter Kennedy has more than 35 years of experience as an attorney, CAO and COO for an RIA and a broker-dealer, respectively. Mr. Kennedy has deep legal, regulatory and administrative capabilities, and is recognized for his ability to analyze complex problems and identify and implement effective business solutions. He has extensive legal experience in overseeing insurance replacement rules, and has also advised on operating policies and procedures for the Wealth Management Division for a large broker-dealer. In addition to practicing law with a New York City firm, Mr. Kennedy’s experience includes positions as:
- COO of TIAA’s broker-dealer, including the enterprise-wide lead in the analysis and preparation for the DOL Fiduciary Advice Rule
- Senior Attorney at PaineWebber (UBS) and CAO of UBS’ managed account business
- Deputy General Counsel at Shearson Lehman Brothers, and commenced his career in private practice in NYC.
Mr. Kennedy holds Series 7 and 24 security industry licenses.