Kenneth G. Vines

VINES CAPITAL MANAGEMENT

Monroe, LA 71201

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CRD#: 2343438

Professional summary

Kenneth Gus Vines, AIF®, CIMA® is a registered financial advisor currently at VINES CAPITAL MANAGEMENT, LLC located in Monroe, Louisiana.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Kenneth has worked at 7 firms and has passed the Series 65, Series 63, Series 31 and Series 7 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 Gus Vines'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®

AIF^®

Accredited Investment Fiduciary

CIMA^®

Certified Investment Management Analyst

Experience

Current

September 21, 2018 - Present

VINES CAPITAL MANAGEMENT, LLC

Office #1: 1896 Hudson Circle Suite 3, Monroe, LA 71201

RIA

CRD#: 298727

Monroe, LA

Past

October 5, 2015 - September 28, 2018

SUMMIT FINANCIAL WEALTH ADVISORS

RIA

CRD#: 171278

Monroe, LA

Past

January 26, 2011 - March 24, 2015

FIDUCIARY INVESTMENT CONSULTANTS, LLC

RIA

CRD#: 155148

MONROE, LA

Past

August 30, 2002 - October 13, 2015

FPL ASSET MANAGEMENT, LLC

RIA

CRD#: 122442

MONROE, LA

Past

July 22, 1999 - October 3, 2000

DMK ADVISOR GROUP, INC.

CRD#: 41067

LUTZ, FL

Past

June 28, 1995 - November 10, 1997

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

May 28, 1993 - November 13, 1993

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LINCOLN, NE

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".

VINES CAPITAL MANAGEMENT, LLC

CRD#: 298727 / SEC#: 801-123516

RIA

Registered Investment Advisory firm - (3/24/2022 Approved)

Louisiana

Registered Investment Advisory firm - (4/21/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/21/2022 Terminated)

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).

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

Louisiana
(9/21/2018)

IAR

Texas
(9/25/2020)

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

IAR

Series 65

Date: 7/27/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/7/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 7/12/1995

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/27/1993

General Securities Representative Examination

Current Firm

VINES CAPITAL MANAGEMENT, LLC

CRD#: 298727 / SEC#: 801-123516

RIA

Registered Investment Advisory firm - (3/24/2022 Approved)

Louisiana

Registered Investment Advisory firm - (4/21/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/21/2022 Terminated)

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Contact information

Main Address

1896 Hudson Circle Suite 3, Monroe, LA 71201

Mailing Address

P.o. Box 14927, Monroe, LA 71207-4927

Phone number

(318) 450-4664

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VINES CAPITAL MANAGEMENT, LLC ADV PART 2 BROCHURE (3/4/2025)

Regulatory assets under management

Total Number of Accounts	402
AUM (Assets Under Management)	$ 168,333,675

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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Firm Stability Insights

Kenneth G. Vines

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Gus Vines's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUMMIT FINANCIAL WEALTH ADVISORS

FIDUCIARY INVESTMENT CONSULTANTS, LLC

FPL ASSET MANAGEMENT, LLC

DMK ADVISOR GROUP, INC.

MORGAN STANLEY DW INC.

ALLSTATE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

VINES CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/27/1995

Series 63

Date: 7/7/1995

Series 31

Date: 7/12/1995

Series 7

Date: 5/27/1993

Current Firm

VINES CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VINES CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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