Kurt A. Schenk
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.
Kurt Arthur Schenk, who also goes by Kurt A Schenk, was a registered financial professional .
Kurt is a previously registered financial professional and started their career in finance in 1986. Kurt had worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2019 - August 12, 2020
LINCOLN INVESTMENT
May 14, 2019 - August 12, 2020
LINCOLN INVESTMENT
May 14, 2019 - August 12, 2020
CAPITAL ANALYSTS
November 25, 1996 - March 30, 2018
MUTUAL OF AMERICA SECURITIES LLC
October 22, 1993 - March 30, 2018
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
March 13, 1992 - September 13, 1993
BOATMEN'S INVESTMENT SERVICES, INC.
June 21, 1991 - March 20, 1992
COMMERCE BROKERAGE SERVICES, INC.
December 16, 1988 - June 27, 1989
A. G. EDWARDS & SONS, INC.
April 23, 1987 - January 2, 1989
MORGAN STANLEY DW INC.
May 23, 1986 - March 24, 1987
MARK TWAIN BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
LINCOLN INVESTMENT
CRD#: 519 / SEC#: 801-14059, 8-14354
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 8/15/2022
General Securities Representative ExaminationCurrent Firm
LINCOLN INVESTMENT
CRD#: 519 / SEC#: 801-14059, 8-14354
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | MEMBER/OWNER | |
| ALEXANDER, DANIEL SEAN | EXECUTIVE VICE-PRESIDENT, CHIEF BUSINESS DEVELOPMENT OFFICER | 4051341 |
| BUETI, ANTHONY CHARLES | SENIOR VICE-PRESIDENT, OPERATIONS & SERVICE/ PRINCIPAL OPERATIONS OFFICER | 5876104 |
| BURA, KAREN DOUGHERTY | VICE-PRESIDENT, CONTROLLER | 1666006 |
| ESTES, JASON CHRISTOPHER | EXECUTIVE VICE-PRESIDENT, CHIEF INFORMATION & TECHNOLOGY OFFICER | 7485210 |
| FLAX, STEVEN NEIL | EXECUTIVE VICE-PRESIDENT, CHIEF HUMAN RESOURCES OFFICER | 5655474 |
| FORST, EDWARD SAMUEL JR | ELECTED MANAGER/CEO | 708024 |
| LECKEY, KATHLEEN KINSLOW | PRESIDENT, CHIEF OPERATING OFFICER | 2447809 |
| MATTSON, MAUREEN ANN | EXECUTIVE VICE-PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | 5952728 |
| MCCARTHY, DIANE MULHERRIN | EXECUTIVE VICE-PRESIDENT/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/ELECTED MANAGER | 4923328 |
| MEHROTRA, SHASHI | SENIOR VICE-PRESIDENT, CHIEF INVESTMENT OFFICER | 2640875 |
| OBERLIES, SUSAN MARY | SENIOR VICE-PRESIDENT, CORPORATE COUNSEL/SECRETARY | 3009149 |
Regulatory assets under management
| Total Number of Accounts | 201,292 |
| AUM (Assets Under Management) | $ 18,904,482,714 |
Disclosures
| Regulatory Event | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
