Kenneth A. Coplen

SFC FINANCIAL LLC

ST. LOUIS, MO 63127

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CRD#: 1705966

Professional summary

Kenneth Allen Coplen, who also goes by Ken A Coplen, is a registered financial advisor currently at SFC FINANCIAL LLC located in St. Louis, Missouri.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Kenneth has worked at 4 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ken A Coplen

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.

SWINK, FICHLER & CO., P.C.; OWNER/SECRETARY OF CORPORATION; START-01/1989; 170 HRS/MONTH; TAX ACCOUNTANT AND CONSULTANT.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Allen Coplen'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

December 19, 2003 - Present

SFC FINANCIAL LLC

Office #1: 3890 S. Lindbergh Blvd. Suite 210, St. Louis, MO 63127

RIA

CRD#: 129817

ST. LOUIS, MO

Past

December 18, 2007 - October 24, 2008

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

SUNSET HILLS, MO

Past

December 18, 2003 - December 31, 2005

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

ST LOUIS, MO

Past

August 8, 2000 - December 18, 2003

EVETS FINANCIAL SECURITIES, INC.

RIA

CRD#: 41070

ST. LOUIS, MO

Past

July 21, 2000 - December 18, 2003

EVETS FINANCIAL SECURITIES, INC.

CRD#: 41070

ST. LOUIS, MO

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".

SFC FINANCIAL LLC

CRD#: 129817 / SEC#: 801-107167

RIA

Registered Investment Advisory firm - (1/22/2016 Approved)

Missouri

Registered Investment Advisory firm - (1/22/2016 Terminated)

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.

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

Missouri
(12/19/2003)

IAR

Texas
(3/5/2024)

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 66

Date: 12/28/1999

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 6/28/2000

General Securities Representative Examination

Current Firm

SFC FINANCIAL LLC

CRD#: 129817 / SEC#: 801-107167

RIA

Registered Investment Advisory firm - (1/22/2016 Approved)

Missouri

Registered Investment Advisory firm - (1/22/2016 Terminated)

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Contact information

Main Address

3890 S. Lindbergh Blvd Suite 200, Sunset Hills, MO 63127-1391

Mailing Address

Phone number

(314) 842-2001

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (FIRM BROCHURE) (2/28/2025)

Regulatory assets under management

Total Number of Accounts	243
AUM (Assets Under Management)	$ 180,863,049

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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Kenneth A. Coplen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Allen Coplen's CRS (Customer Relationship Summary).

Certified licenses

Experience

SFC FINANCIAL LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

EVETS FINANCIAL SECURITIES, INC.

EVETS FINANCIAL SECURITIES, INC.

Primary Firm SEC Registration

SFC FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/28/1999

Series 7

Date: 6/28/2000

Current Firm

SFC FINANCIAL LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SFC FINANCIAL LLC

TRUST BUT VERIFY

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