Kenneth A. Sutherland

LIFEPLAN GROUP

Raleigh, NC 27613

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CRD#: 2443828

Professional summary

Kenneth Allan Sutherland, who also goes by Ken Sutherland, is a registered financial advisor currently at LIFEPLAN GROUP located in Raleigh, North Carolina.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Kenneth has worked at 5 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ken Sutherland

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.

LIFEPLAN TAX AND INSURANCE GROUP, INC. - OWNER AND SECRETARY. 05/2003 TO PRESENT. INVESTMENT RELATED. 7201 CREEDMOOR RD, SUITE 147, RALEIGH, NC 27613. DUTIES INCLUDE OWNERSHIP RESPONSIBILITIES. SPEND APPROXIMATELY 25% OF TIME ON THIS ACTIVITY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Allan Sutherland'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

February 2, 2009 - Present

LIFEPLAN GROUP

Office #1: 7201 Creedmoor Rd. Suite 147, Raleigh, NC 27613

RIA

CRD#: 144157

Raleigh, NC

Past

March 7, 2019 - December 6, 2021

FREEDOM INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 126052

Raleigh, NC

Past

September 11, 2018 - November 30, 2021

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

Releigh, NC

Past

May 23, 2013 - December 31, 2018

FREEDOM INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 126052

SAN RAFAEL, CA

Past

September 11, 2008 - December 31, 2008

LIFEPLAN GROUP

RIA

CRD#: 144157

OMAHA, NE

Past

June 22, 2007 - August 25, 2008

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

OMAHA, NE

Past

February 4, 1994 - December 31, 1994

SENTRA SECURITIES CORPORATION

CRD#: 10249

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".

LIFEPLAN GROUP

CRD#: 144157 / SEC#: 801-122570

RIA

Registered Investment Advisory firm - (11/16/2021 Approved)

Nebraska

Registered Investment Advisory firm - (10/26/2010 Terminated)

North Carolina

Registered Investment Advisory firm - (12/13/2021 Terminated)

Texas

Registered Investment Advisory firm - (12/13/2021 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

North Carolina
(6/8/2009)

IAR

Texas
(11/20/2019)

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

Series 63

Date: 2/3/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 2/3/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LIFEPLAN GROUP

CRD#: 144157 / SEC#: 801-122570

RIA

Registered Investment Advisory firm - (11/16/2021 Approved)

Nebraska

Registered Investment Advisory firm - (10/26/2010 Terminated)

North Carolina

Registered Investment Advisory firm - (12/13/2021 Terminated)

Texas

Registered Investment Advisory firm - (12/13/2021 Terminated)

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Contact information

Main Address

7201 Creedmoor Rd. Suite 147, Raleigh, NC 27613

Mailing Address

Phone number

(919) 858-6119

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LIFEPLAN GROUP ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	913
AUM (Assets Under Management)	$ 238,613,582

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. Sutherland

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Allan Sutherland's CRS (Customer Relationship Summary).

Certified licenses

Experience

FREEDOM INVESTMENT MANAGEMENT, INC.

AE WEALTH MANAGEMENT, LLC

FREEDOM INVESTMENT MANAGEMENT, INC.

LIFEPLAN GROUP

HORTER INVESTMENT MANAGEMENT, LLC

SENTRA SECURITIES CORPORATION

Primary Firm SEC Registration

LIFEPLAN GROUP

State Registrations and Notice Filings

Exams

Series 63

Date: 2/3/1994

Series 6

Date: 2/3/1994

Current Firm

LIFEPLAN GROUP

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LIFEPLAN GROUP

TRUST BUT VERIFY

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