Brian E. Mohney

LINCOLN DOUGLAS INVESTMENTS

Georgetown, GA

Some features on this profile are disabled

CRD#: 2890043

Professional summary

Brian Eugene Mohney is a registered financial advisor currently at LINCOLN DOUGLAS INVESTMENTS, LLC located in Georgetown, Georgia.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Brian has worked at 4 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 79, Series 7, Series 14, Series 53, Series 27, Series 24 and Series 4 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.

FINOP/CCO FOR ANOTHER BROKER DEALER, SOVEREIGN GLOBAL ADVISORS NO ASSOSCIATION WITH LINCOLN DOUGLAS INVESTMENTS, LLC. 4/15/2013 IS DATE OF ASSOCIATION AND DEVOTE APPROX 20HRS/MO, 5-10 DURING TRADING HOURS. ESTABLISH AND REVIEW FINANCIAL AND COMPLIANCE RECORDS AND CONTROLS. SUBMITT REQUIRED FINRA FILLINGS. Mohney Enterprises LLC, Not investment related. Dry Ice blasting services and rental. Owner start date 3/24/21 5 hours/month, 0 during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Eugene Mohney's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Brian Eugene Mohney'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

January 15, 2013 - Present

RIA

CRD#: 2543

MEMPHIS, TN

Past

March 6, 2007 - May 10, 2011

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

MEMPHIS, TN

Past

November 28, 1997 - March 6, 2007

CAPITAL SECURITIES OF AMERICA, INC.

CRD#: 36405

HARTVILLE, OH

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

Alabama
(5/30/2018)

Arkansas
(7/16/2020)

Florida
(9/22/2011)

Georgia
(1/15/2013)

IAR

Georgia
(1/15/2013)

Indiana
(11/16/2012)

New Jersey
(12/14/2020)

New Mexico
(11/3/2011)

Ohio
(7/13/2011)

IAR

Ohio
(1/15/2013)

Pennsylvania
(8/18/2015)

South Dakota
(2/26/2018)

Texas
(9/27/2011)

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.

LINCOLN DOUGLAS INVESTMENTS, LLC

CRD#: 155578 / SEC#: 801-72438, 8-68728

RIA

Registered Investment Advisory firm - SEC (11/29/2011 Terminated)

Georgia

Registered Investment Advisory firm - SEC (6/20/2012 Approved)

Ohio

Registered Investment Advisory firm - SEC (11/15/2011 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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

1051 Newark Rd, Mount Vernon, OH 43050

Mailing Address

1051 Newark Rd, Mt. Vernon, OH 43050

Phone number

(740) 397-1397

Established

Ohio since 09/15/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (42 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
DENNIS, KENNETH EARL	CEO	2297497
MANSFIELD, DOUGLAS MARR	GENERAL COUNSEL, CORPORATE SECRETARY
BULLOCK, BRANDON LEE	CFO, FINOP	4617848
MOHNEY, BRIAN EUGENE	CHIEF COMPLIANCE OFFICER / AMLCO	2890043

Regulatory assets under management

Total Number of Accounts	199
AUM (Assets Under Management)	$ 97,644,384

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

Brian E. Mohney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Eugene Mohney's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Brian Eugene Mohney's CRS (Customer Relationship Summary).

Certified licenses

Experience

LINCOLN DOUGLAS INVESTMENTS, LLC

SOVEREIGN GLOBAL ADVISORS LLC

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH MANAGEMENT

CAPITAL SECURITIES OF AMERICA, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/3/1999

Series 52TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 79

Date: 6/24/2015

Series 7

Date: 8/18/1997

Series 14

Date: 1/2/2023

Series 53

Date: 6/13/2016

Series 27

Date: 5/18/2001

Series 24

Date: 4/13/2000

Series 4

Date: 5/7/1999

FINRA

Current Firm

LINCOLN DOUGLAS INVESTMENTS, LLC

Contact information

FINRA licenses (42 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

LINCOLN DOUGLAS INVESTMENTS, LLC

TRUST BUT VERIFY

Similar Advisors