Kevin W. Stone
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kevin Wayne Stone, CFP®, who also goes by Kevin W Stone, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1996. Kevin had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2017 - December 15, 2021
MISSIONSQUARE RETIREMENT
March 8, 2017 - December 15, 2021
MISSIONSQUARE INVESTMENT SERVICES
November 10, 2004 - December 31, 2012
AMERICAN CENTURY ADVISORY SERVICES, INC.
November 5, 2004 - December 31, 2012
AMERICAN CENTURY BROKERAGE, INC.
November 5, 2004 - January 27, 2017
AMERICAN CENTURY INVESTMENT SERVICES INC.
June 17, 2004 - October 29, 2004
WALNUT STREET SECURITIES, INC.
May 12, 2004 - October 29, 2004
WALNUT STREET SECURITIES, INC.
September 11, 2003 - February 2, 2004
EDWARD JONES
October 7, 2002 - August 7, 2003
AMERICAN CENTURY ADVISORY SERVICES, INC.
May 3, 1996 - July 18, 2003
AMERICAN CENTURY INVESTMENT SERVICES INC.
Primary Firm SEC Registration
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 58,580 |
| AUM (Assets Under Management) | $ 5,959,398,729 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
