DK
Dennis M. Kinghorn
OSAIC INSTITUTIONS
Ellsworth, ME 04605
Some features on this profile are disabled
CRD#: 2700975
DK
Professional summary
Dennis Michael Kinghorn is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Ellsworth, Maine.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Dennis has worked at 6 firms and has passed the Series 66, SIE, 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.
1. 4/15/08- RENEWALS FROM PAST INSURANCE & HEALTH INSURANCE GROUP- LES THAN 1 HOUR A WEEK - ELLSWORTH, ME
2. 4/15/08- COMMERCIAL SHELLFISH, SELLING CLAMS- LESS THAN ONE HOUR A WEEK - ELLSWORTH, ME
3. 4/15/08- HARVEST AND SELLS BLUEBERRIES- LESS THAN ONE HOUR A WEEK- ELLSWORTH, ME
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Michael Kinghorn's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dennis Michael Kinghorn'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®
NoneExperience
Current
January 21, 2010 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 135 High Street, Ellsworth, ME 04605Office #2: 2 Bridge Street, Millbridge, ME 04658Office #3: 385 Main Street, Winter Harbor, ME 04693Office #4: 68 Washington Street, Lubec, ME 04652Office #5: 41 Main Street, Machias, ME 04654RIA
BD
CRD#: 35371
Ellsworth, ME
Current
January 21, 2010 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 135 High Street, Ellsworth, ME 04605Office #2: 2 Bridge Street, Millbridge, ME 04658Office #3: 385 Main Street, Winter Harbor, ME 04693Office #4: 68 Washington Street, Lubec, ME 04652Office #5: 41 Main Street, Machias, ME 04654RIA
BD
CRD#: 35371
Ellsworth, ME
Past
April 15, 2008 - January 8, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
ELLSWORTH, ME
Past
April 15, 2008 - January 8, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
ELLSWORTH, ME
Past
March 30, 2004 - April 18, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
ELLSWORTH, ME
Past
January 22, 2004 - April 18, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
ELLSWORTH, ME
Past
March 28, 2002 - January 6, 2004
SUNSET FINANCIAL SERVICES, INC.
BD
CRD#: 3538
KANSAS CITY, MO
Past
January 7, 2000 - March 21, 2002
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
March 7, 1996 - November 23, 1999
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.RR
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
RR
California(11/27/2023)
RR
Connecticut(9/19/2016)
RR
Florida(2/3/2010)
RR
Georgia(1/21/2010)
RR
Illinois(9/20/2023)
RR
Kansas(7/14/2025)
RR
Maine(1/21/2010)
IAR
Maine(1/21/2010)
RR
Massachusetts(6/6/2017)
RR
New Hampshire(8/15/2014)
RR
New Mexico(1/19/2022)
RR
North Carolina(2/25/2019)
RR
Ohio(10/31/2022)
RR
Pennsylvania(1/4/2018)
RR
Vermont(8/29/2017)
RR
Virginia(1/12/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
