Stephen A. Kohn

DMK ADVISOR GROUP

Littleton, CO 80120

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CRD#: 1267211

Professional summary

Stephen Alan Kohn is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Stephen Alan Kohn'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

July 31, 1996 - Present

DMK ADVISOR GROUP, INC.

Office #1: 26 W. Dry Creek Circle Suite 600, Littleton, CO 80120Office #2: 17961 Hunting Bow Circle Suite 102, Lutz, FL 33558

RIA

CRD#: 41067

Littleton, CO

Past

January 1, 1999 - December 31, 2021

DMK ADVISOR GROUP, INC.

RIA

CRD#: 41067

LUTZ, FL

Past

April 15, 1993 - September 13, 1996

KOHN, HEBERT & ASSOCIATES, LTD.

CRD#: 31084

Past

March 23, 1993 - April 23, 1993

LARIMER CAPITAL CORPORATION

CRD#: 18189

DENVER, CO

Past

April 3, 1991 - December 31, 1992

U.S. SECURITIES CLEARING CORP.

CRD#: 15403

SAN DIEGO, CA

Past

August 27, 1990 - March 27, 1991

WHITEHOUSE & MOORE INVESTMENTS, INC.

CRD#: 24738

Past

March 25, 1988 - August 10, 1990

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

Past

February 15, 1988 - April 19, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

Past

September 8, 1987 - February 15, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

December 3, 1984 - August 10, 1990

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

Past

June 18, 1984 - December 11, 1984

CHESLEY AND DUNN, INC.

CRD#: 8362

Past

May 25, 1984 - June 7, 1984

FIRST INTERWEST SECURITIES CORPORATION

CRD#: 13492

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".

DMK ADVISOR GROUP, INC.

DMK ADVISOR GROUP, INC. | STEPHEN A. KOHN & ASSOCIATES, LTD.

CRD#: 41067 / SEC#: 801-121389, 8-49279

RIA

Registered Investment Advisory firm - SEC (6/3/2021 Approved)

Arizona

Registered Investment Advisory firm - SEC (6/8/2021 Terminated)

Arkansas

Registered Investment Advisory firm - SEC (12/31/2004 Terminated)

California

Registered Investment Advisory firm - SEC (7/8/2021 Terminated)

Colorado

Registered Investment Advisory firm - SEC (6/10/2021 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (6/10/2021 Terminated)

Delaware

Registered Investment Advisory firm - SEC (6/8/2021 Terminated)

District of Columbia

Registered Investment Advisory firm - SEC (10/18/2001 Terminated)

Florida

Registered Investment Advisory firm - SEC (6/8/2021 Terminated)

Georgia

Registered Investment Advisory firm - SEC (7/15/2021 Terminated)

Idaho

Registered Investment Advisory firm - SEC (12/31/2005 Terminated)

Illinois

Registered Investment Advisory firm - SEC (12/31/2004 Terminated)

Kansas

Registered Investment Advisory firm - SEC (6/8/2021 Terminated)

Maine

Registered Investment Advisory firm - SEC (9/5/2003 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (2/15/2002 Terminated)

Michigan

Registered Investment Advisory firm - SEC (6/8/2021 Terminated)

Mississippi

Registered Investment Advisory firm - SEC (10/18/2001 Terminated)

Missouri

Registered Investment Advisory firm - SEC (6/8/2021 Terminated)

Nevada

Registered Investment Advisory firm - SEC (12/31/2004 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (6/28/2021 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (12/31/2004 Terminated)

New York

Registered Investment Advisory firm - SEC (6/8/2021 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/9/2021 Terminated)

Ohio

Registered Investment Advisory firm - SEC (6/9/2021 Terminated)

Puerto Rico

Registered Investment Advisory firm - SEC (6/3/2021 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (6/9/2021 Terminated)

Washington

Registered Investment Advisory firm - SEC (10/8/2021 Terminated)

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

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

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
(10/10/1996)

California
(10/17/2022)

Colorado
(8/14/1996)

Connecticut
(2/19/2025)

Florida
(11/8/2022)

Hawaii
(1/9/2024)

Maryland
(3/8/2021)

New Jersey
(11/8/2022)

New Mexico
(1/9/2024)

New York
(8/15/1996)

Ohio
(5/15/2025)

Oregon
(10/17/2022)

Pennsylvania
(10/17/2022)

Texas
(6/18/2009)

Utah
(1/7/2013)

Virginia
(3/18/2025)

Washington
(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

State Security Law Exam

Series 63

Date: 6/25/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

Series 72

Date: 1/2/2023

Government Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional 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: 5/19/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 53

Date: 8/29/1989

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/21/1986

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

DMK ADVISOR GROUP, INC.

DMK ADVISOR GROUP, INC. | STEPHEN A. KOHN & ASSOCIATES, LTD.

CRD#: 41067 / SEC#: 801-121389, 8-49279

RIA

Registered Investment Advisory firm - SEC (6/3/2021 Approved)

Arizona

Registered Investment Advisory firm - SEC (6/8/2021 Terminated)

Arkansas

Registered Investment Advisory firm - SEC (12/31/2004 Terminated)

California

Registered Investment Advisory firm - SEC (7/8/2021 Terminated)

Colorado

Registered Investment Advisory firm - SEC (6/10/2021 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (6/10/2021 Terminated)

Delaware

Registered Investment Advisory firm - SEC (6/8/2021 Terminated)

District of Columbia

Registered Investment Advisory firm - SEC (10/18/2001 Terminated)

Florida

Registered Investment Advisory firm - SEC (6/8/2021 Terminated)

Georgia

Registered Investment Advisory firm - SEC (7/15/2021 Terminated)

Idaho

Registered Investment Advisory firm - SEC (12/31/2005 Terminated)

Illinois

Registered Investment Advisory firm - SEC (12/31/2004 Terminated)

Kansas

Registered Investment Advisory firm - SEC (6/8/2021 Terminated)

Maine

Registered Investment Advisory firm - SEC (9/5/2003 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (2/15/2002 Terminated)

Michigan

Registered Investment Advisory firm - SEC (6/8/2021 Terminated)

Mississippi

Registered Investment Advisory firm - SEC (10/18/2001 Terminated)

Missouri

Registered Investment Advisory firm - SEC (6/8/2021 Terminated)

Nevada

Registered Investment Advisory firm - SEC (12/31/2004 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (6/28/2021 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (12/31/2004 Terminated)

New York

Registered Investment Advisory firm - SEC (6/8/2021 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/9/2021 Terminated)

Ohio

Registered Investment Advisory firm - SEC (6/9/2021 Terminated)

Puerto Rico

Registered Investment Advisory firm - SEC (6/3/2021 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (6/9/2021 Terminated)

Washington

Registered Investment Advisory firm - SEC (10/8/2021 Terminated)

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

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Contact information

Main Address

17961 Hunting Bow Circle Suite 102, Lutz, FL 33558

Mailing Address

17961 Hunting Bow Circle Suite 102, Lutz, FL 33558

Phone number

(303) 470-5664

Established

Colorado since 04/30/1996

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

SEC notice filing (34 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 (5/20/2025)

PETER WYROUGH ADV 2024 (5/20/2025)

FORM ADV PART 2A (5/20/2025)

RUBEN RODRIGUEZ ADV 2024 (5/20/2025)

RYAN MULLER ADV 2024 (5/20/2025)

STEVEN KOHN ADV 2024 (5/20/2025)

STEVEN WESTVEER ADV 2024 (5/20/2025)

SUNIL MISRA ADV 2024 (5/20/2025)

CHRISTINE CAGLE 2024 ADV (5/20/2025)

HAL SCHWARTZ ADV 2024 (5/20/2025)

JORGE PEREZ ADV 2024 (5/20/2025)

KELVIN DOUGLAS ADV 2024 (5/20/2025)

MELISSA WAGNER ADV 2024 (5/20/2025)

MICHAEL BLACKMORE ADV 2024 (5/20/2025)

DMK ADVISOR GROUP INC 2024 FORM CRS (5/20/2025)

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
OHMAN, JOHN DAVID	ROP/CROP	1059085

Regulatory assets under management

Total Number of Accounts	469
AUM (Assets Under Management)	$ 84,480,870

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Stephen A. Kohn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Alan Kohn's CRS (Customer Relationship Summary).

Certified licenses

Experience

DMK ADVISOR GROUP, INC.

KOHN, HEBERT & ASSOCIATES, LTD.

LARIMER CAPITAL CORPORATION

U.S. SECURITIES CLEARING CORP.

WHITEHOUSE & MOORE INVESTMENTS, INC.

BLINDER, ROBINSON & CO., INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

BLINDER, ROBINSON & CO., INC.

CHESLEY AND DUNN, INC.

FIRST INTERWEST SECURITIES CORPORATION

Primary Firm SEC Registration

DMK ADVISOR GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/25/1984

Series 52TO

Date: 9/25/2025

Series 72

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/19/1984

Series 14

Date: 1/2/2023

Series 53

Date: 8/29/1989

Series 24

Date: 1/21/1986

FINRA

Current Firm

DMK ADVISOR GROUP, INC.

Contact information

SEC notice filing (34 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

DMK ADVISOR GROUP, INC.

TRUST BUT VERIFY

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