Kenneth J. Davis

BROOKSTONE WEALTH ADVISORS

Lewistown, PA 17044

Some features on this profile are disabled

CRD#: 1620035

Professional summary

Kenneth John Davis is a registered financial advisor currently at BROOKSTONE WEALTH ADVISORS, LLC located in Lewistown, Pennsylvania.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Kenneth has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Trinity Wealth Group, Investment Related, 183 Kestrel Lane Boalsburg, PA 16827, insurance sales and dba for investment advisory business, Owner, started June 2016, 160 hrs/ month all during trading hours, Providing Investment adivce, annuities, and life insurance

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth John Davis'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 8, 2016 - Present

BROOKSTONE WEALTH ADVISORS, LLC

Office #1: 407 Electric Avenue, Lewistown, PA 17044

RIA

CRD#: 137658

Lewistown, PA

Past

February 15, 1996 - January 22, 1998

KEYSTONE BROKERAGE, LLC

CRD#: 17445

WILLIAMSPORT, PA

Past

July 31, 1993 - June 8, 1994

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 7, 1993 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

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".

BROOKSTONE WEALTH ADVISORS, LLC

CRD#: 137658 / SEC#: 801-67628

RIA

Registered Investment Advisory firm - (3/16/2007 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(7/8/2016)

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: 7/8/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/12/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/6/1993

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 3/23/1992

National Commodity Futures Examination

Current Firm

BROOKSTONE WEALTH ADVISORS, LLC

CRD#: 137658 / SEC#: 801-67628

RIA

Registered Investment Advisory firm - (3/16/2007 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1745 S Naperville Rd Suite 200, Wheaton, IL 60189

Mailing Address

Phone number

(630) 653-1400

Established

Firm type

Fiscal year end

# of Employees

244

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RWA ADV 2A (7/30/2025)

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.

Similar Advisors

Hazan Akgun

J.P. MORGAN SECURITIES LLC

Clifton, NJ

Phillip Smith

CETERA INVESTMENT ADVISERS LLC

IAR

EUGENE, OR

Chantel Hue

J.P. MORGAN SECURITIES LLC

NEW YORK, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kenneth J. Davis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth John Davis's CRS (Customer Relationship Summary).

Certified licenses

Experience

KEYSTONE BROKERAGE, LLC

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

BROOKSTONE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/8/2016

Series 63

Date: 4/12/1993

Series 7

Date: 4/6/1993

Series 3

Date: 3/23/1992

Current Firm

BROOKSTONE WEALTH ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

BROOKSTONE WEALTH ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors