Kenneth L. Stein

Some features on this profile are disabled

CRD#: 2582342

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.

Kenneth L Stein, CFP® was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1995. Kenneth had worked at 15 firms and has passed the Series 63, Series 66, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

Mr. Stein is a licensed insurance agent, however, he is inactive in the insurance practice as he is not actively prospecting or writing any insurance business.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Start date: 2005

Experience

Past

July 23, 2024 - April 8, 2025

EMPIRIKAL PARTNERS LLC

RIA

CRD#: 282691

CROTON ON HUDSON, NY

Past

January 1, 2024 - July 22, 2024

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

Bronxville, NY

Past

December 26, 2023 - July 22, 2024

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

Bronxville, NY

Past

November 4, 2022 - August 18, 2023

FARTHER

RIA

CRD#: 302050

Croton on Hudson, NY

Past

October 17, 2016 - November 21, 2016

MATRIX CAPITAL GROUP, INC.

CRD#: 33364

New York, NY

Past

November 11, 2014 - November 15, 2022

NAVELLIER & ASSOCIATES INC

RIA

CRD#: 107568

NEW YORK, NY

Past

December 12, 2013 - November 17, 2014

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

MIDDLETOWN, NY

Past

November 1, 2007 - February 11, 2008

DAVID LERNER ASSOCIATES, INC.

CRD#: 5397

DARIEN, CT

Past

September 5, 2007 - October 31, 2007

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

BRIDGEWATER, NJ

Past

September 5, 2007 - October 31, 2007

MML INVESTORS SERVICES, LLC

CRD#: 10409

BRIDGEWATER, NJ

Past

May 10, 2007 - June 25, 2007

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

WHITE PLAINS, NY

Past

November 3, 2006 - January 23, 2007

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

MOUNT KISCO, NY

Past

January 1, 2005 - January 23, 2007

HSBC SECURITIES (USA) INC.

CRD#: 19585

MOUNT KISCO, NY

Past

May 14, 2004 - January 1, 2005

HSBC BROKERAGE (USA) INC.

CRD#: 6956

NEW YORK, NY

Past

January 2, 2004 - March 19, 2004

GREENPOINT SECURITIES LLC

CRD#: 127042

LAKE SUCCESS, NY

Past

February 13, 2002 - January 2, 2004

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

November 5, 1999 - June 8, 2001

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

May 15, 1996 - December 13, 1996

INVESTMENT ADVISORS & CONSULTANTS, INC.

CRD#: 7996

WEST LONG BRANCH, NJ

Past

February 23, 1995 - January 22, 1996

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 2/5/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/14/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 12/30/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 11/22/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/11/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/22/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

EMPIRIKAL PARTNERS LLC

EMPIRIKAL PARTNERS LLC | MONZON WEALTH

CRD#: 282691 / SEC#:

Arizona

Registered Investment Advisory firm - (9/7/2016 Approved)

California

Registered Investment Advisory firm - (6/5/2020 Approved)

Colorado

Registered Investment Advisory firm - (7/31/2024 Terminated)

Florida

Registered Investment Advisory firm - (10/28/2020 Approved)

Georgia

Registered Investment Advisory firm - (5/18/2022 Approved)

Maryland

Registered Investment Advisory firm - (3/4/2024 Approved)

Mississippi

Registered Investment Advisory firm - (7/31/2024 Terminated)

New Jersey

Registered Investment Advisory firm - (7/16/2020 Approved)

New York

Registered Investment Advisory firm - (10/12/2022 Approved)

Oklahoma

Registered Investment Advisory firm - (3/3/2021 Approved)

Texas

Registered Investment Advisory firm - (6/19/2020 Approved)

Wyoming

Registered Investment Advisory firm - (5/11/2020 Approved)

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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Phoenix, AZ

Mailing Address

Phone number

(480) 558-6167

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	170
AUM (Assets Under Management)	$ 88,000,000

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kenneth L. Stein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

ALLSTATE FINANCIAL ADVISORS, LLC

FARTHER

MATRIX CAPITAL GROUP, INC.

NAVELLIER & ASSOCIATES INC

MONEY CONCEPTS CAPITAL CORP

DAVID LERNER ASSOCIATES, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

ALLSTATE FINANCIAL SERVICES, LLC

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

HSBC BROKERAGE (USA) INC.

GREENPOINT SECURITIES LLC

ESSEX NATIONAL SECURITIES, LLC

NYLIFE SECURITIES LLC

INVESTMENT ADVISORS & CONSULTANTS, INC.

NYLIFE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/5/2024

Series 66

Date: 12/14/2006

Series 6TO

Date: 12/30/2023

SIE

Date: 11/22/2023

Series 7

Date: 12/11/2013

Series 6

Date: 10/22/1999

Current Firm

EMPIRIKAL PARTNERS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

EMPIRIKAL PARTNERS LLC

TRUST BUT VERIFY

Similar Advisors