KM
Kevin T. Mix
GRADIENT SECURITIES
Lansing, MI 48917
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CRD#: 2723159
KM
Professional summary
Kevin Thomas Mix is a registered financial advisor currently at GRADIENT SECURITIES, LLC located in Lansing, Michigan.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Kevin has worked at 4 firms and has passed the Series 65, Series 63, SIE 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. DBA: LOOKING GLASS WEALTH MANAGEMENT; INV-RELATED; 912 CENTENNIAL WAY, STE 340, LANSING, MI 48917; SECURITIES/ADVISORY SERVICES; RR/IAR; DBA FOR SECURITIES AND ADVISORY BUSINESS; START 10/2024; HOURS: 160 PER MONTH; 160 HRS PER MONTH DURING SECURITIES TRADING HOURS; DBA NAME. 2. LOOKING GLASS INSURANCE SOLUTIONS; INV RELATED; 912 CENTENNIAL WAY, STE 340, LANSING, MI 48917; INSURANCE; MANAGING MEMBER; START 12/2024; 20 HOURS PER MONTH; 20 HOURS DURING SECURITIES TRADING HOURS; SALES OF INSURANCE.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Thomas Mix's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kevin Thomas Mix'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
October 25, 2019 - Present
GRADIENT SECURITIES, LLC
Office #1: 912 Centennial Way Suite 340, Lansing, MI 48917RIA
BD
CRD#: 127701
Lansing, MI
Current
September 1, 2011 - Present
GRADIENT SECURITIES, LLC
Office #1: 912 Centennial Way Suite 340, Lansing, MI 48917RIA
BD
CRD#: 127701
Lansing, MI
Past
April 17, 2008 - September 1, 2011
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
GRAND LEDGE, MI
Past
October 26, 2006 - April 18, 2008
HBW SECURITIES LLC
BD
CRD#: 136959
GRAND LEDGE, MI
Past
April 12, 1996 - July 13, 2006
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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".
GS
GRADIENT SECURITIES, LLC
GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT
CRD#: 127701 / SEC#: 801-80807, 8-66032
RIA
Registered Investment Advisory firm - SEC (1/8/2015 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City 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
Arizona(9/29/2023)
IAR
Georgia(11/2/2023)
RR
Indiana(2/1/2024)
RR
Michigan(9/1/2011)
IAR
Michigan(10/25/2019)
RR
Minnesota(8/26/2025)
IAR
Minnesota(8/26/2025)
RR
New Mexico(5/3/2023)
RR
North Carolina(8/18/2025)
IAR
Ohio(10/25/2019)
RR
Ohio(10/20/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GRADIENT SECURITIES, LLC
GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT
CRD#: 127701 / SEC#: 801-80807, 8-66032
RIA
Registered Investment Advisory firm - SEC (1/8/2015 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
4105 Lexington Avenue Suite 380, Arden Hills, MN 55126
Mailing Address
4105 Lexington Avenue Suite 380, Arden Hills, MN 55126
Phone number
(866) 991-1539
Established
Delaware since 04/09/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
62
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 7,322 |
| AUM (Assets Under Management) | $ 591,069,287 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
GRADIENT SECURITIES, LLC
CRD#: 127701Lansing, MI 48917TRUST BUT VERIFY
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