Kenneth L. Riffle

FCG INVESTMENT COMPANY

Germantown, TN 38138

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CRD#: 1934162

Professional summary

Kenneth Louis Riffle, who also goes by Ken Riffle, is a registered financial advisor currently at FCG INVESTMENT COMPANY located in Germantown, Tennessee.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Kenneth has worked at 9 firms and has passed the Series 63, Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ken Riffle

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) - RIA

Click below to view Kenneth Louis Riffle'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

April 22, 2020 - Present

FCG INVESTMENT COMPANY

Office #1: 9040 Garden Arbor Dr Ste 206, Germantown, TN 38138

RIA

CRD#: 308192

Germantown, TN

Past

September 17, 2018 - June 1, 2020

MID ATLANTIC FINANCIAL MANAGEMENT, INC.

RIA

CRD#: 109771

GERMANTOWN, TN

Past

August 26, 2016 - September 14, 2018

NUVEEN ASSET MANAGEMENT, LLC

RIA

CRD#: 155584

Memphis, TN

Past

March 31, 2015 - November 30, 2016

TRADEWINDS GLOBAL INVESTORS, LLC

RIA

CRD#: 138476

MEMPHIS, TN

Past

February 11, 2014 - May 18, 2015

SECTOR CAPITAL MANAGEMENT, L.L.C.

RIA

CRD#: 106782

MEMPHIS, TN

Past

June 18, 2013 - October 16, 2013

HIGHLAND CAPITAL MANAGEMENT, LLC

RIA

CRD#: 104842

MEMPHIS, TN

Past

March 29, 2004 - October 16, 2013

SECTOR CAPITAL MANAGEMENT, L.L.C.

RIA

CRD#: 106782

MEMPHIS, TN

Past

June 5, 1998 - May 17, 2007

MEEDER DISTRIBUTION SERVICES, INC.

CRD#: 36773

DUBLIN, OH

Past

May 27, 1993 - April 29, 1997

GARAL & COMPANY, INC.

CRD#: 30503

SAN FRANCISCO, CA

Past

June 20, 1989 - August 26, 1989

GUZMAN & COMPANY

CRD#: 21013

CORAL GABLES, FL

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".

FCG INVESTMENT COMPANY

CRD#: 308192 / SEC#: 801-118437

RIA

Registered Investment Advisory firm - (4/13/2020 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

Tennessee
(4/22/2020)

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

Series 63

Date: 6/30/1994

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/21/1993

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 5/17/1993

General Securities Representative Examination

Current Firm

FCG INVESTMENT COMPANY

CRD#: 308192 / SEC#: 801-118437

RIA

Registered Investment Advisory firm - (4/13/2020 Approved)

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Contact information

Main Address

9040 Garden Arbor Dr Ste 206, Germantown, TN 38138

Mailing Address

Phone number

(901) 309-2681

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- FCG INVESTMENT COMPANY (6/9/2025)

Regulatory assets under management

Total Number of Accounts	404
AUM (Assets Under Management)	$ 457,898,340

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

Kenneth L. Riffle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Louis Riffle's CRS (Customer Relationship Summary).

Certified licenses

Experience

MID ATLANTIC FINANCIAL MANAGEMENT, INC.

NUVEEN ASSET MANAGEMENT, LLC

TRADEWINDS GLOBAL INVESTORS, LLC

SECTOR CAPITAL MANAGEMENT, L.L.C.

HIGHLAND CAPITAL MANAGEMENT, LLC

SECTOR CAPITAL MANAGEMENT, L.L.C.

MEEDER DISTRIBUTION SERVICES, INC.

GARAL & COMPANY, INC.

GUZMAN & COMPANY

Primary Firm SEC Registration

FCG INVESTMENT COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 6/30/1994

Series 65

Date: 12/21/1993

Series 7

Date: 5/17/1993

Current Firm

FCG INVESTMENT COMPANY

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FCG INVESTMENT COMPANY

TRUST BUT VERIFY

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