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Todd Kennedy Allegedly Failed to Disclose Commissions

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
October 21, 2025 at 3:28pm

Todd Kennedy (CRD #: 2382823), a broker registered with UBS Financial Services, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on October 21, 2025. Keep reading if you have questions regarding his alleged conduct.

Investor Allegations

On September 2, 2025, an investor alleged that Todd Kennedy failed to disclose all of the commissions and fees that the investor would be charged.

Investors should know that this is the fifth investor dispute on his record.

Misrepresentation

FINRA Rule 2020 prohibits the use of manipulation, deception, and other fraudulent methods to influence investors’ decisions. This includes the misrepresentation or omission of information, such as an investment’s potential fees and commissions.

Background Information

Todd Kennedy has passed the following exams:

  • Series 66 Uniform Combined State Law Examination
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 31 Futures Managed Funds Examination 
  • Series 7 General Securities Representative Examination  

He is a registered broker in 31 states and D.C. He is a registered investment adviser in Georgia and Texas.

Todd Kennedy has registered with the following firms:

  • UBS Financial Services (CRD #: 8174)
  • C. Bradford & Co. (CRD #: 1287)
  • Painewebber Incorporated (CRD #: 8174)
  • Bear, Stearns & Co. (CRD #: 79)

Kurta Law Can Help

If you worked with Todd Kennedy and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

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