Kenward L. Stone

OSAIC WEALTH

CINCINNATI, OH 45242

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CRD#: 1198779

Professional summary

Kenward Lavon Stone, who also goes by Kenward Stone, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Cincinnati, Ohio.

Kenward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Kenward has worked at 7 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kenward Stone

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.

STONE FINANCIAL RETIREMENT PLANNING POSITION: Investment advisor NATURE: Advisory-- SAA INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 40 START DATE: 07/27/1992 ADDRESS: 10101 Alliance Rd, Suite 180, Cincinnati OH 45242 DESCRIPTION: I invest clients money in a portfolio of ETFs after we go through a process of identifying their goals, objectives and risk tolerance. DBA - Stone Financial Retirement Planning STONE FINANCIAL RETIREMENT PLANNING POSITION: advisor NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 2 START DATE: 07/27/1992 ADDRESS: 10101 Alliance Rd, Suite 180, Cincinnati OH 45242 DESCRIPTION: Help clients with life insurance needs and income needs.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenward Lavon Stone's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Kenward Lavon Stone's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 10101 Alliance Road Suite 180, Cincinnati, OH 45242

RIA

CRD#: 23131

CINCINNATI, OH

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 10101 Alliance Road Suite 180, Cincinnati, OH 45242

RIA

CRD#: 23131

CINCINNATI, OH

Past

July 27, 2020 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

CINCINNATI, OH

Past

July 17, 2020 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

CINCINNATI, OH

Past

March 25, 1999 - July 20, 2020

INVESTACORP ADVISORY SERVICES INC

RIA

CRD#: 109011

CINCINNATI, OH

Past

July 27, 1992 - July 17, 2020

INVESTACORP, INC.

CRD#: 7684

CINCINNATI, OH

Past

October 30, 1991 - August 11, 1992

HUDSON VALLEY CAPITAL MANAGEMENT

CRD#: 24162

CROTON-ON-HUDSON, NY

Past

December 8, 1983 - February 12, 1991

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(6/14/2024)

California
(6/14/2024)

Florida
(6/14/2024)

Georgia
(6/14/2024)

Indiana
(6/14/2024)

Kentucky
(6/14/2024)

Maryland
(6/14/2024)

Minnesota
(6/14/2024)

New York
(6/14/2024)

North Carolina
(6/14/2024)

Ohio
(6/14/2024)

IAR

Ohio
(6/14/2024)

Pennsylvania
(6/14/2024)

Texas
(6/14/2024)

IAR

Texas
(6/14/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 12/21/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/19/1983

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

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Kenward L. Stone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenward Lavon Stone's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Kenward Lavon Stone's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

INVESTACORP ADVISORY SERVICES INC

INVESTACORP, INC.

HUDSON VALLEY CAPITAL MANAGEMENT

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/21/1983

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/19/1983

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

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