CH
Carl R. Hollister
L.M. KOHN & COMPANY
Cincinnati, OH 45242
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CRD#: 1953484
CH
Professional summary
Carl Robert Hollister is a registered financial advisor currently at L.M. KOHN & COMPANY located in Cincinnati, Ohio.
Carl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Carl has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 55, Series 7, Series 9, Series 14, Series 10, Series 24, Series 53 and Series 4 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.
Name of Business: The Order of AHEPA. A non-profit, non investment-related fraternal organization. Address: 1909 Q St. NW, Washington, DC 20009. Nature of Business: Non-Profit fraternal organization. Position/Relationship with Business: Board Member. Start Date: September 2019. Number of Hours devoted to business: 2. Number of hours devoted to business during trading hours: 0. Duties include: Promote membership and programs.
CRS (Client Relationship Summary) - RIA
Click below to view Carl Robert Hollister's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carl Robert Hollister's 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®
NoneExperience
Current
October 29, 1999 - Present
L.M. KOHN & COMPANY
Office #1: 10151 Carver Rd. Suite 100, Cincinnati, OH 45242RIA
BD
CRD#: 27913
Cincinnati, OH
Current
July 8, 1994 - Present
L.M. KOHN & COMPANY
Office #1: 10151 Carver Rd. Suite 100, Cincinnati, OH 45242RIA
BD
CRD#: 27913
Cincinnati, OH
Past
May 16, 1990 - July 8, 1994
SMITH, MOORE & CO.
BD
CRD#: 3441
CLAYTON, MO
Past
September 30, 1989 - June 6, 1990
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
May 23, 1989 - September 30, 1989
NEWHARD, COOK & CO. INCORPORATED
BD
CRD#: 619
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".
LK
L.M. KOHN & COMPANY
A. TURNER FINANCIAL | VISION FINANCIAL PARTNERS | TRUE HARBOUR WEALTH MANAGEMENT | THE TATLAN GROUP | TANKE FINANCIAL GROUP | ROBERT BRYAN FITZPATRICK PC | PRIVATE WEALTH & RETIREMENT SERVICES, LLC | PREFERRED PENSION SOLUTIONS | PLANNING WORKS, LLC | PILOT WEALTH MANAGEMENT | PARADIGM BENEFITS, LLC | NORRIS & COMPANY WEALTH MANAGEMENT, LLC | MILLENNIUM FINANCIAL | MAYHEW WEALTH MANAGEMENT | M3 WEALTH MANAGEMENT/KING FINANCIAL INC./PINZONE FINANCIAL SERVICES/HEALY FINANCIAL SERVICES | LOVE & ASSOCIATES | LOOMIS WEALTH MANAGEMENT, LLC. | LIGHTHOUSE AGENCY INC. | L.M. KOHN NORTH | L.M. KOHN & COMPANY | KOHN WEALTH MANAGEMENT ADVISORS, LLC. | KOHN FINANCIAL CORPORATION | JMK WEALTH ADVISORS | JLA CAPITAL | GROUP PLANS INSURANCE AGENCY INC - A DIVISION OF SHEAKLEY | GREEN & HALLIBURTON, INC. | GELMAN PENSION CONSULTING/CORNERSTONE PENSION CONSULTING | FINANCIAL DESIGNS, LLC | CYR FINANCIAL SERVICES / SHAREFAX FINANCIAL SERVICES | CONWAY FINANCIAL GROUP | CITIZENS FINANCIAL SERVICES | CGI WEALTH MANAGEMENT | CARPENTER WEALTH MANAGEMENT | BUTLER BENEFIT BROKERS INC. | BAKER & COMPANY | ART ROSSER FINANCIAL SERVICES GROUP | ALDYN CAPITAL, LLC
CRD#: 27913 / SEC#: 801-38116, 8-43303
RIA
Registered Investment Advisory firm - SEC (1/18/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(8/19/2005)
RR
Arkansas(1/25/2012)
RR
California(3/4/2011)
RR
Colorado(4/1/2020)
RR
Delaware(1/16/2013)
RR
District of Columbia(9/27/2007)
RR
Florida(6/30/1998)
RR
Georgia(10/14/2011)
RR
Illinois(9/28/1994)
RR
Indiana(7/14/1998)
RR
Kansas(11/1/2016)
RR
Kentucky(6/25/1998)
RR
Louisiana(2/5/2008)
RR
Maine(1/7/2020)
RR
Maryland(8/27/2009)
RR
Massachusetts(5/2/2006)
RR
Michigan(6/26/1998)
RR
Minnesota(1/16/2015)
RR
Mississippi(10/14/2011)
RR
Missouri(3/24/1997)
RR
New Jersey(8/5/2011)
RR
New York(5/7/2014)
RR
North Carolina(6/26/1998)
RR
North Dakota(10/6/1998)
RR
Ohio(7/8/1994)
IAR
Ohio(10/29/1999)
RR
Pennsylvania(6/24/1998)
RR
Rhode Island(6/22/2020)
RR
South Carolina(6/16/1997)
RR
Tennessee(3/22/2019)
RR
Texas(2/19/2014)
RR
Utah(7/5/2024)
RR
Virginia(1/3/2013)
RR
Washington(6/16/2006)
RR
West Virginia(6/24/1998)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/24/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LK
L.M. KOHN & COMPANY
A. TURNER FINANCIAL | VISION FINANCIAL PARTNERS | TRUE HARBOUR WEALTH MANAGEMENT | THE TATLAN GROUP | TANKE FINANCIAL GROUP | ROBERT BRYAN FITZPATRICK PC | PRIVATE WEALTH & RETIREMENT SERVICES, LLC | PREFERRED PENSION SOLUTIONS | PLANNING WORKS, LLC | PILOT WEALTH MANAGEMENT | PARADIGM BENEFITS, LLC | NORRIS & COMPANY WEALTH MANAGEMENT, LLC | MILLENNIUM FINANCIAL | MAYHEW WEALTH MANAGEMENT | M3 WEALTH MANAGEMENT/KING FINANCIAL INC./PINZONE FINANCIAL SERVICES/HEALY FINANCIAL SERVICES | LOVE & ASSOCIATES | LOOMIS WEALTH MANAGEMENT, LLC. | LIGHTHOUSE AGENCY INC. | L.M. KOHN NORTH | L.M. KOHN & COMPANY | KOHN WEALTH MANAGEMENT ADVISORS, LLC. | KOHN FINANCIAL CORPORATION | JMK WEALTH ADVISORS | JLA CAPITAL | GROUP PLANS INSURANCE AGENCY INC - A DIVISION OF SHEAKLEY | GREEN & HALLIBURTON, INC. | GELMAN PENSION CONSULTING/CORNERSTONE PENSION CONSULTING | FINANCIAL DESIGNS, LLC | CYR FINANCIAL SERVICES / SHAREFAX FINANCIAL SERVICES | CONWAY FINANCIAL GROUP | CITIZENS FINANCIAL SERVICES | CGI WEALTH MANAGEMENT | CARPENTER WEALTH MANAGEMENT | BUTLER BENEFIT BROKERS INC. | BAKER & COMPANY | ART ROSSER FINANCIAL SERVICES GROUP | ALDYN CAPITAL, LLC
CRD#: 27913 / SEC#: 801-38116, 8-43303
RIA
Registered Investment Advisory firm - SEC (1/18/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
10151 Carver Rd. Suite 100, Cincinnati, OH 45242
Mailing Address
10151 Carver Rd. Suite 100, Cincinnati, OH 45242
Phone number
(513) 792-0301
Established
Ohio since 11/27/1990
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
85
SEC notice filing (5 States and Territories)
FINRA licenses (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,799 |
| AUM (Assets Under Management) | $ 2,091,208,747 |
Disclosures
| Regulatory Event | 1 |
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.
Company Information
L.M. KOHN & COMPANY
CRD#: 27913Cincinnati, OH 45242TRUST BUT VERIFY
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Contact information
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