Kenneth E. Dennis

LINCOLN DOUGLAS INVESTMENTS

Mt. Vernon, OH 43050

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CRD#: 2297497

Professional summary

Kenneth Earl Dennis is a registered financial advisor currently at LINCOLN DOUGLAS INVESTMENTS, LLC located in Mt. Vernon, Ohio.

Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Kenneth has worked at 5 firms and has passed the Series 66, Series 99TO, SIE, Series 7 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.

I AM A STOCKHOLDER AND PRESIDENT OF DENNIS & SCHISLER, INC. (A CPA FIRM)LOCATED AT 206 SOUTH MULBERRY ST. MOUNT VERNON, OH 43050. I ACQUIRED AN INTEREST IN THIS FIRM IN 1980 AND HAVE BEEN PRESIDENT SINCE THAT TIME. I SPEND APPROXIMATELY 60 HOURS PER MONTH IN THIS POSITION PREPARING AND/OR REVIEWING TAX RETURNS, AND TAX RESEARCH. APPROXIMATELY TWO TO THREE HOURS A DAY COULD BE DEVOTED TO THIS BUSINESS DURING NORMAL SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Earl Dennis's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Kenneth Earl Dennis'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

November 14, 2011 - Present

LINCOLN DOUGLAS INVESTMENTS, LLC

Office #1: 1051 Newark Rd, Mt. Vernon, OH 43050

RIA

CRD#: 155578

Mt. Vernon, OH

Current

July 12, 2011 - Present

LINCOLN DOUGLAS INVESTMENTS, LLC

Office #1: 1051 Newark Rd, Mt. Vernon, OH 43050

RIA

CRD#: 155578

Mt. Vernon, OH

Past

March 1, 2007 - December 31, 2010

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

MT. VERNON, OH

Past

May 11, 2000 - March 1, 2007

CAPITAL SECURITIES OF AMERICA, INC.

CRD#: 36405

MT. VERNON, OH

Past

October 2, 1998 - October 26, 1998

CAPITAL SECURITIES OF AMERICA, INC.

CRD#: 36405

Past

November 23, 1993 - October 12, 1998

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

February 9, 1993 - November 19, 1993

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

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.

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

Florida
(9/21/2011)

Ohio
(7/13/2011)

IAR

Ohio
(11/14/2011)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/19/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/5/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/1/2003

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LINCOLN DOUGLAS INVESTMENTS, LLC

CRD#: 155578 / SEC#: 801-72438, 8-68728

RIA

Registered Investment Advisory firm - SEC (11/29/2011 Terminated)

Georgia

Registered Investment Advisory firm - SEC (6/20/2012 Approved)

Ohio

Registered Investment Advisory firm - SEC (11/15/2011 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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).

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Contact information

Main Address

1051 Newark Rd, Mount Vernon, OH 43050

Mailing Address

1051 Newark Rd, Mt. Vernon, OH 43050

Phone number

(740) 397-1397

Established

Ohio since 09/15/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (42 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
DENNIS, KENNETH EARL	CEO	2297497
MANSFIELD, DOUGLAS MARR	GENERAL COUNSEL, CORPORATE SECRETARY
BULLOCK, BRANDON LEE	CFO, FINOP	4617848
MOHNEY, BRIAN EUGENE	CHIEF COMPLIANCE OFFICER / AMLCO	2890043

Regulatory assets under management

Total Number of Accounts	199
AUM (Assets Under Management)	$ 97,644,384

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 E. Dennis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Earl Dennis's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Kenneth Earl Dennis's CRS (Customer Relationship Summary).

Certified licenses

Experience

LINCOLN DOUGLAS INVESTMENTS, LLC

B. RILEY WEALTH MANAGEMENT

CAPITAL SECURITIES OF AMERICA, INC.

CAPITAL SECURITIES OF AMERICA, INC.

FIFTH THIRD SECURITIES, INC.

AVANTAX INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/19/2002

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/5/1993

Series 24

Date: 4/1/2003

FINRA

Current Firm

LINCOLN DOUGLAS INVESTMENTS, LLC

Contact information

FINRA licenses (42 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

LINCOLN DOUGLAS INVESTMENTS, LLC

TRUST BUT VERIFY

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