Kevin D. Mahn

HENNION & WALSH ASSET MANAGEMENT

Parsippany, NJ 07054

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CRD#: 2519398

Professional summary

Kevin Douglas Mahn, who also goes by Kevin Mahn, is a registered financial advisor currently at HENNION & WALSH ASSET MANAGEMENT, INC. located in Parsippany, New Jersey and HENNION & WALSH, INC. located in Parsippany, New Jersey.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Kevin has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin Mahn

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.

HENNION & WALSH, INC/HENNION & WALSH ASSET MANAGEMENT NISCA - non-profit trade association, wealth management industry, Boston, MA. Board of Directors Committee, 2024, one meeting per quarter.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Douglas Mahn'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, 2006 - Present

HENNION & WALSH ASSET MANAGEMENT, INC.

Office #1: 2001 Route 46 Waterview Plaza, Parsippany, NJ 07054

RIA

CRD#: 126236

Parsippany, NJ

Current

September 20, 2004 - Present

HENNION & WALSH, INC.

Office #1: 2001 Route 46 Waterview Plaza, Parsippany, NJ 07054Office #2: 2001 Route 46 Waterview Plaza, Parsippany, NJ 07054-1018

CRD#: 25766

Parsippany, NJ

Past

November 23, 2004 - December 31, 2005

HENNION & WALSH ASSET MANAGEMENT, INC.

RIA

CRD#: 126236

PARSIPPANY , NJ

Past

September 28, 1994 - September 15, 2004

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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".

HENNION & WALSH ASSET MANAGEMENT, INC.

CRD#: 126236 / SEC#: 801-61977

RIA

Registered Investment Advisory firm - (5/2/2003 Approved)

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

IAR

Florida
(2/21/2006)

New Jersey
(9/20/2004)

IAR

New Jersey
(2/2/2006)

New York
(11/23/2004)

IAR

Pennsylvania
(11/13/2006)

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: 11/22/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/27/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/27/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

HENNION & WALSH ASSET MANAGEMENT, INC.

CRD#: 126236 / SEC#: 801-61977

RIA

Registered Investment Advisory firm - (5/2/2003 Approved)

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Contact information

Main Address

2001 Route 46 Waterview Plaza, Parsippany, NJ 07054

Mailing Address

Phone number

(973) 299-8989

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HENNION & WALSH ASSET MANAGEMENT BROCHURE (3/24/2025)

Regulatory assets under management

Total Number of Accounts	1,423
AUM (Assets Under Management)	$ 590,106,063

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2024	Cover Page	Report
10/27/2023	Cover Page	Report
09/28/2022	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Kevin D. Mahn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Douglas Mahn's CRS (Customer Relationship Summary).

Certified licenses

Experience

HENNION & WALSH, INC.

HENNION & WALSH ASSET MANAGEMENT, INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

HENNION & WALSH ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/22/2004

SIE

Date: 10/1/2018

Series 7

Date: 9/27/1994

Series 24

Date: 9/27/2005

FINRA

Current Firm

HENNION & WALSH ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (33 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

HENNION & WALSH ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

Contact information

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