Asher Curtis Gray | Financial Professional

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.

Asher Curtis Gray was a registered financial professional .

Asher is a previously registered financial professional and started their career in finance in 1986. Asher had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

No

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)

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 17, 2012 - December 31, 2019

L.M. KOHN & COMPANY

BD

CRD#: 27913

JACKSONVILLE BEACH, FL

Past

November 7, 2002 - January 17, 2012

MIDSOUTH CAPITAL, INC.

BD

CRD#: 35039

ATLANTA, GA

Past

March 9, 2001 - November 5, 2002

JANNEY MONTGOMERY SCOTT LLC

BD

CRD#: 463

PHILADELPHIA, PA

Past

May 8, 1999 - March 29, 2001

RAYMOND JAMES & ASSOCIATES, INC.

BD

CRD#: 705

ST. PETERSBURG, FL

Past

March 13, 1998 - May 10, 1999

LEGG MASON WOOD WALKER, INCORPORATED

BD

CRD#: 6555

BALTIMORE, MD

Past

March 3, 1995 - March 18, 1998

PRUDENTIAL EQUITY GROUP, LLC

BD

CRD#: 7471

NEW YORK, NY

Past

August 7, 1991 - March 22, 1995

ALEX. BROWN & SONS INCORPORATED

BD

CRD#: 20

Past

September 4, 1990 - August 8, 1991

MORGAN STANLEY DW INC.

BD

CRD#: 7556

PURCHASE, NY

Past

December 12, 1988 - September 10, 1990

J.C. BRADFORD & CO.

BD

CRD#: 1287

NEW YORK, NY

Past

October 14, 1988 - December 19, 1988

WACHOVIA SECURITIES, INC.

BD

CRD#: 431

Past

May 5, 1988 - October 14, 1988

JOHNSON, LANE, SPACE, SMITH & CO., INC.

BD

CRD#: 472

Past

June 20, 1986 - May 17, 1988

FORESTERS FINANCIAL SERVICES, INC.

BD

CRD#: 305

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".

LK

L.M. KOHN & COMPANY

CRD#: 27913 / SEC#: 801-38116, 8-43303

RIA

Registered Investment Advisory firm - SEC (1/18/1991 Approved)

BD

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

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: 9/13/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 8/9/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 5/21/1988

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 6/19/1986

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LK

L.M. KOHN & COMPANY

CRD#: 27913 / SEC#: 801-38116, 8-43303

RIA

Registered Investment Advisory firm - SEC (1/18/1991 Approved)

BD

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

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Contact information

Main Address

10151 Carver Rd. Suite 100, Cincinnati, OH 45242

Mailing Address

10151 Carver Rd. Suite 100, Cincinnati, OH 45242

Phone number

(513) 792-0301

Established

Ohio since 11/27/1990

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

85

SEC notice filing (5 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A 04-08-2025 (4/8/2025)

WRAP FEE PROGRAM BROCHURE 04-08-2025 (4/8/2025)

Direct owners and executive officers

Name	Position	CRD#
KOHN, LARRY MICHAEL	CEO/COB/TREASURER	1063493
CHESS, ROBERT HUBERT JR	CHIEF COMPLIANCE OFFICER	2444560
HOLLISTER, CARL ROBERT	PRESIDENT	1953484
KOHN, ANDREW LEONARD	VICE-PRESIDENT/SECRETARY/ASSISTANT TREASURER	6081667

Regulatory assets under management

Total Number of Accounts	5,799
AUM (Assets Under Management)	$ 2,091,208,747

Disclosures

Regulatory Event

1

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

Asher C. Gray

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MIDSOUTH CAPITAL, INC.

JANNEY MONTGOMERY SCOTT LLC

RAYMOND JAMES & ASSOCIATES, INC.

LEGG MASON WOOD WALKER, INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

ALEX. BROWN & SONS INCORPORATED

MORGAN STANLEY DW INC.

J.C. BRADFORD & CO.

WACHOVIA SECURITIES, INC.

JOHNSON, LANE, SPACE, SMITH & CO., INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

L.M. KOHN & COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 9/13/1993

Series 63

Date: 8/9/1988

SIE

Date: 10/1/2018

Series 7

Date: 5/21/1988

Series 6

Date: 6/19/1986

Current Firm

L.M. KOHN & COMPANY

Contact information

SEC notice filing (5 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

L.M. KOHN & COMPANY

TRUST BUT VERIFY

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