Kevin R. Stutz
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.
Kevin Ray Stutz was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1987. Kevin had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2018 - August 6, 2020
LINCOLN INVESTMENT
April 27, 2018 - August 6, 2020
LINCOLN INVESTMENT
April 27, 2018 - August 6, 2020
CAPITAL ANALYSTS
July 19, 2011 - February 23, 2017
MEEDER ADVISORY SERVICES, INC.
July 19, 2011 - November 29, 2017
MEEDER ASSET MANAGEMENT, INC.
June 29, 2011 - June 10, 2016
MEEDER DISTRIBUTION SERVICES, INC.
April 12, 2010 - May 26, 2011
AUGUSTAR DISTRIBUTORS, INC.
December 8, 2006 - April 23, 2009
COREBRIDGE CAPITAL SERVICES, INC.
November 3, 2004 - September 26, 2006
FEDERATED INVESTMENT COUNSELING
June 19, 2002 - September 26, 2006
FEDERATED SECURITIES CORP.
November 14, 2001 - June 20, 2002
CHASE INVESTMENT SERVICES CORP.
July 31, 1996 - August 24, 2001
MFS FUND DISTRIBUTORS, INC.
March 10, 1995 - June 27, 1996
CETERA INVESTMENT SERVICES LLC
December 5, 1988 - March 16, 1995
ARAGON FINANCIAL SERVICES, INC.
September 24, 1987 - October 19, 1987
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
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
Current 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.
