David L. Kanen

KANEN WEALTH MANAGEMENT LLC

Coral Springs, FL 33076

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CRD#: 1807794

Professional summary

David Lawrence Kanen is a registered financial advisor currently at KANEN WEALTH MANAGEMENT LLC located in Coral Springs, Florida.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. David has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 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.

FROM TIME TO TIME, DAVID L. KANEN SERVES AS NON-EXEC CHAIRMAN OF THE BOD OF ONE OR MORE OF THE PORTFOLIO COMPANIES HELD BY THE FIRM'S PRIVATE INVESTMENT FUND, AND RECEIVES REMUNERATION IN CONNECTION WITH SUCH ACTIVITIES. A LIST OF THE BOARD POSITIONS HELD CURRENTLY AND IN THE PAST ARE AS FOLLOWS: 1) AQUA METALS, INC.: 08/1/2022 TO PRESENT 2) US AUTO PARTS: 1/23/2019 TO 06/02/2020 3) FAMOUS DAVE'S OF AMERICA, INC.: 10/4/2018 TO 05/21/2021 4) BUILD-A-BEAR WORKSHOP, INC.: 07/29/2019 - 09/08/2020 || OTHER OBA: NAME OF BUSINESS: Philotimo Charters, LLC | INVESTMENT RELATED: N | ADDRESS: Parkland FL 33067 | NATURE OF BUSINESS: Boat and Yacht Charter Company | POSITION IN BUSINESS: Owner/Member| TITLE: Owner/Member | START DATE: 10.19.2021 | APPROX. # of HRS/MTH DEVOTED TO BUSINESS: 1 | # OF HRS DURING SECURITIES TRADING HOURS: 0 | BRIEF DESCRIPTION OF DUTIES: Oversight of business activities, not actively managing |

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Lawrence Kanen'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

March 23, 2016 - Present

KANEN WEALTH MANAGEMENT LLC

Office #1: 5850 Coral Ridge Drive Suite 309, Coral Springs, FL 33076

RIA

CRD#: 282746

Coral Springs, FL

Past

December 5, 2012 - August 18, 2016

AEGIS CAPITAL CORP.

CRD#: 15007

BOCA RATON, FL

Past

December 4, 2012 - August 18, 2016

AEGIS CAPITAL CORP.

RIA

CRD#: 15007

BOCA RATON, FL

Past

March 16, 2011 - November 30, 2012

WFG ADVISORS, LP

RIA

CRD#: 125073

SMITHTOWN, NY

Past

March 16, 2011 - November 30, 2012

WFG INVESTMENTS, INC.

CRD#: 22704

HAUPPAUGE, NY

Past

February 3, 2010 - March 21, 2011

FIRST MIDWEST SECURITIES, INC.

RIA

CRD#: 21786

SMITHTOWN, NY

Past

January 2, 2009 - March 21, 2011

FIRST MIDWEST SECURITIES, INC.

CRD#: 21786

SMITHTOWN, NY

Past

September 23, 2005 - January 5, 2009

JHS CAPITAL ADVISORS, LLC

CRD#: 112097

SMITHTOWN, NY

Past

April 30, 2004 - September 23, 2005

STERLING FINANCIAL INVESTMENT GROUP, INC.

CRD#: 41506

BOCA RATON, FL

Past

April 6, 1992 - May 20, 2004

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

October 13, 1988 - April 15, 1992

DAVID LERNER ASSOCIATES, INC.

CRD#: 5397

SYOSSET, NY

Past

March 3, 1988 - October 20, 1988

FORESTERS FINANCIAL SERVICES, INC.

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".

KANEN WEALTH MANAGEMENT LLC

CRD#: 282746 / SEC#: 801-116998

RIA

Registered Investment Advisory firm - (7/22/2019 Approved)

California

Registered Investment Advisory firm - (8/23/2019 Terminated)

Florida

Registered Investment Advisory firm - (12/31/2019 Terminated)

New York

Registered Investment Advisory firm - (7/24/2019 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/25/2019 Terminated)

Texas

Registered Investment Advisory firm - (7/24/2019 Terminated)

Virginia

Registered Investment Advisory firm - (7/25/2019 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

California
(10/2/2018)

IAR

Florida
(5/2/2016)

IAR

New York
(6/11/2021)

IAR

Texas
(3/23/2016)

IAR

Virginia
(4/28/2017)

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: 9/13/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/4/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/18/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/19/1988

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/2/1988

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/1/2005

General Securities Principal Examination

Current Firm

KANEN WEALTH MANAGEMENT LLC

CRD#: 282746 / SEC#: 801-116998

RIA

Registered Investment Advisory firm - (7/22/2019 Approved)

California

Registered Investment Advisory firm - (8/23/2019 Terminated)

Florida

Registered Investment Advisory firm - (12/31/2019 Terminated)

New York

Registered Investment Advisory firm - (7/24/2019 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/25/2019 Terminated)

Texas

Registered Investment Advisory firm - (7/24/2019 Terminated)

Virginia

Registered Investment Advisory firm - (7/25/2019 Terminated)

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Contact information

Main Address

6810 Lyons Technology Circle Suite 160, Coconut Creek, FL 33073

Mailing Address

Phone number

(631) 863-3100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV, PART 2A - KWM - MARCH 21, 2025 (3/28/2025)

FORM ADV, PART 2B - KWM - MARCH 21, 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	443
AUM (Assets Under Management)	$ 340,923,069

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

David L. Kanen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Lawrence Kanen's CRS (Customer Relationship Summary).

Certified licenses

Experience

AEGIS CAPITAL CORP.

AEGIS CAPITAL CORP.

WFG ADVISORS, LP

WFG INVESTMENTS, INC.

FIRST MIDWEST SECURITIES, INC.

FIRST MIDWEST SECURITIES, INC.

JHS CAPITAL ADVISORS, LLC

STERLING FINANCIAL INVESTMENT GROUP, INC.

A. G. EDWARDS & SONS, INC.

DAVID LERNER ASSOCIATES, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

KANEN WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/13/2007

Series 63

Date: 3/4/1988

SIE

Date: 8/18/2016

Series 7

Date: 11/19/1988

Series 6

Date: 3/2/1988

Series 24

Date: 6/1/2005

Current Firm

KANEN WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KANEN WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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