Stephen Alan Kohn
Professional Summary
Stephen Alan Kohn is a registered financial advisor currently at DMK ADVISOR GROUP, INC. located in Littleton, Colorado. Stephen is registered as a RR (Registered Representative) and started their career in finance in 1984. Stephen has worked at 10 firms and has passed the Series 63, Series 52TO, Series 72, Series 99TO, Series 79TO, SIE, Series 7, Series 14, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
42 years in the financial services industry
Current & Past Employments
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Current Firm
DMK ADVISOR GROUP, INC. | STEPHEN A. KOHN & ASSOCIATES, LTD.
Contact Information
Main Address
17961 Hunting Bow Circle Suite 102, Lutz, FL 33558Mailing Address
17961 Hunting Bow Circle Suite 102, Lutz, FL 33558Phone Number
(303) 470-5664Established
Colorado since 04/30/1996Firm Type
CorporationFiscal Year End
MarchFirm Size
Small# of Employees
38SEC notice filing (36 States and Territories)
Registered to provide investment advisory services in 36 US states and territories.
FINRA licenses (46 States and Territories)
Registered to provide investment advisory services in 36 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DESAI, JANAK R | DIRECTOR | 6307455 |
| DOUGLAS, KELVIN RAY | DIRECTOR | 4723703 |
| MISRA, SUNIL DUTT | DIRECTOR/PRINCIPAL | 5617829 |
| PEREZ, JORGE RAMON | DIRECTOR | 2253547 |
| SCHWARTZ, HAROLD ALAN | CEO/PRINCIPAL | 841225 |
| BASKETT, ERIN ELAINE | CHIEF COMPLIANCE OFFICER | 4538604 |
| GALLIGAN, PETER B | FINOP | 1873304 |
| GROSMAN, BARRY JULIAN | DIRECTOR | 7967542 |
| KOHN, STEPHEN ALAN | MUNI PRINCIPAL | 1267211 |
Regulatory Assets Under Management
Total Number of Accounts
779AUM (Assets Under Management)
$130,803,725Disclosures
Regulatory Event
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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.
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Primary Firm SEC Registration
DMK ADVISOR GROUP, INC. | STEPHEN A. KOHN & ASSOCIATES, LTD.
State Registrations and Notice Filings
(10/10/1996)
(10/17/2022)
(8/14/1996)
(2/19/2025)
(11/8/2022)
(1/9/2024)
(3/20/2026)
(3/8/2021)
(11/8/2022)
(1/9/2024)
(8/15/1996)
(5/15/2025)
(10/17/2022)
(10/17/2022)
(8/18/2026)
(6/18/2009)
(1/7/2013)
(3/18/2025)
(2/16/2021)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examSeries 72 — Government Securities Representative Examination
Passed Jan 2023Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Stephen Alan Kohn's CRS (Customer Relationship Summary).
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