Kenneth A. Gilpin

SOUND INVESTMENTS

Overland Park, KS 66212

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CRD#: 2337759

Professional summary

Kenneth Arthur Gilpin, CFP® is a registered financial advisor currently at SOUND INVESTMENTS INC. located in Overland Park, Kansas.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Kenneth has worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Arthur Gilpin'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®

CFP^®

Certified Financial Planner

Experience

Current

April 2, 1999 - Present

SOUND INVESTMENTS INC.

Office #1: 8826 Santa Fe Suite 202, Overland Park, KS 66212

RIA

CRD#: 117501

Overland Park, KS

Past

April 2, 1999 - December 31, 2002

SOUND INVESTMENTS INC.

RIA

CRD#: 117501

LENEXA, KS

Past

September 18, 1998 - October 6, 1999

ASSIST INVESTMENT MANAGEMENT COMPANY, INC.

CRD#: 34902

LEAWOOD, KS

Past

January 24, 1997 - September 25, 1998

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

March 26, 1996 - December 31, 1996

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

OVERLAND PARK, KS

Past

September 8, 1994 - April 11, 1996

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

April 8, 1993 - December 31, 1993

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

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

Kansas
(4/2/1999)

IAR

Missouri
(6/10/2013)

IAR

Texas
(6/13/2018)

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: 10/7/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/12/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/5/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/7/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SOUND INVESTMENTS INC.

COMMERCIAL MORTGAGE BROKER | SOUND INVESTMENTS INC.

CRD#: 117501 / SEC#:

Arkansas

Registered Investment Advisory firm - (8/4/2004 Terminated)

Iowa

Registered Investment Advisory firm - (11/17/2016 Terminated)

Kansas

Registered Investment Advisory firm - (4/2/1999 Approved)

Missouri

Registered Investment Advisory firm - (6/6/2013 Approved)

Texas

Registered Investment Advisory firm - (6/11/2018 Conditional Restricted)

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

C/o Ken Gilpin 8826 Santa Fe Drive, Suite 202, Overland Park, KS 66212

Mailing Address

8826 Santa Fe Dr Suite 202, Overland Park, KS 66212

Phone number

(913) 908-4366

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	65
AUM (Assets Under Management)	$ 16,290,000

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 A. Gilpin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Arthur Gilpin's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOUND INVESTMENTS INC.

ASSIST INVESTMENT MANAGEMENT COMPANY, INC.

OSAIC WEALTH, INC.

VSR FINANCIAL SERVICES, INC.

WALNUT STREET SECURITIES, INC.

WS GRIFFITH SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/7/1998

Series 63

Date: 4/12/1993

Series 7

Date: 10/5/1994

Series 6

Date: 4/7/1993

Current Firm

SOUND INVESTMENTS INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SOUND INVESTMENTS INC.

TRUST BUT VERIFY

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