Kenneth E. Steben

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CRD#: 1005222

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kenneth Edward Steben, who also goes by Kenneth Edwards Steben, was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1981. Kenneth had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, Series 7, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kenneth Edwards Steben

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 29, 2015 - November 15, 2019

STEBEN & COMPANY, LLC

RIA

CRD#: 117808

GAITHERSBURG, MD

Past

May 20, 2002 - November 15, 2019

STEBEN & COMPANY, LLC

CRD#: 117808

GAITHERSBURG, MD

Past

April 9, 1996 - September 9, 1996

SUMA SECURITIES, LLC

CRD#: 35852

ATLANTA, GA

Past

October 12, 1995 - December 31, 2005

FSA WEALTH PARTNERS

RIA

CRD#: 104513

DARNESTOWN, MD

Past

June 28, 1993 - December 31, 1993

RODMAN & RENSHAW INC.

CRD#: 724

CHICAGO, IL

Past

April 3, 1989 - August 30, 2002

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

ROCKVILLE, MD

Past

September 18, 1986 - April 10, 1989

CAREY JAMISON & COMPANY

CRD#: 14129

Past

July 22, 1986 - September 19, 1986

ENERIC FINANCIAL SERVICES, INC.

CRD#: 11761

Past

September 23, 1985 - July 8, 1986

CAREY JAMISON & COMPANY

CRD#: 14129

Past

November 14, 1983 - August 1, 1985

MORGAN STANLEY DW INC.

CRD#: 7556

Past

September 25, 1981 - November 19, 1983

MOSELEY SECURITIES CORPORATION

CRD#: 7908

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STEBEN & COMPANY, LLC

STEBEN & COMPANY, INC. | STEBEN & COMPANY, LLC

CRD#: 117808 / SEC#: 801-64686, 8-53614

RIA

Registered Investment Advisory firm - SEC (9/13/2005 Approved)

Terminated by SEC on 02/06/2021

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/25/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/21/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/22/1985

National Commodity Futures Examination

General Industry/Product Exam

Series 5

Date: 10/22/1984

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 8/15/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 12/29/1987

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 10/10/1986

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/12/1986

General Securities Principal Examination

Current Firm

STEBEN & COMPANY, LLC

STEBEN & COMPANY, INC. | STEBEN & COMPANY, LLC

CRD#: 117808 / SEC#: 801-64686, 8-53614

RIA

Registered Investment Advisory firm - SEC (9/13/2005 Approved)

Terminated by SEC on 02/06/2021

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Contact information

Main Address

687 Excelsior Blvd., Excelsior, MN 55331

Mailing Address

687 Excelsior Blvd., Excelsior, MN 55331

Phone number

(952) 767-6900

Established

Maryland since 10/31/2019

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Latest Form ADV

Part 2 Brochures

STEBEN & CO LLC PART II 2025 (3/19/2025)

Direct owners and executive officers

Name	Position	CRD#
KINZIE, KEVIN MICHAEL	CEO CCO	4384324

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 108,117,452

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Kenneth E. Steben

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STEBEN & COMPANY, LLC

SUMA SECURITIES, LLC

FSA WEALTH PARTNERS

RODMAN & RENSHAW INC.

GROVE POINT INVESTMENTS, LLC

CAREY JAMISON & COMPANY

ENERIC FINANCIAL SERVICES, INC.

CAREY JAMISON & COMPANY

MORGAN STANLEY DW INC.

MOSELEY SECURITIES CORPORATION

Primary Firm SEC Registration

STEBEN & COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/1992

Series 63

Date: 8/21/1981

SIE

Date: 10/1/2018

Series 3

Date: 1/22/1985

Series 5

Date: 10/22/1984

Series 7

Date: 8/15/1981

Series 4

Date: 12/29/1987

Series 53

Date: 10/10/1986

Series 24

Date: 8/12/1986

Current Firm

STEBEN & COMPANY, LLC

Contact information

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

STEBEN & COMPANY, LLC

TRUST BUT VERIFY

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