Kenneth B. Parlin

PARLIN ADVISORS LLC

HAGUE, NY 12836

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CRD#: 3081940

Professional summary

Kenneth B Parlin, CFP® is a registered financial advisor currently at PARLIN ADVISORS LLC located in Hague, New York.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Kenneth has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 31 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth B Parlin'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®

CFP^®

Certified Financial Planner

Start date: 2021

Experience

Current

June 22, 2021 - Present

PARLIN ADVISORS LLC

Office #1: 9819 Graphite Mountain Rd, Hague, NY 12836

RIA

CRD#: 300774

HAGUE, NY

Past

December 24, 2011 - November 27, 2018

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

August 28, 2003 - October 19, 2007

PARLIN INVESTMENTS LLC

RIA

CRD#: 127885

SUMMIT, NJ

Past

November 20, 2000 - July 1, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

January 19, 1999 - July 1, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 15, 1998 - January 20, 1999

JPMSI

CRD#: 15733

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".

PARLIN ADVISORS LLC

CRD#: 300774 / SEC#: 801-121363

RIA

Registered Investment Advisory firm - (6/1/2021 Approved)

New York

Registered Investment Advisory firm - (6/24/2021 Terminated)

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).

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.

Highlighted states indicate IAR registrations

IAR

New York
(6/22/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/20/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/7/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/23/2011

General Securities Representative Examination

General Industry/Product Exam

Series 31

Date: 1/21/2003

Futures Managed Funds Examination

Current Firm

PARLIN ADVISORS LLC

CRD#: 300774 / SEC#: 801-121363

RIA

Registered Investment Advisory firm - (6/1/2021 Approved)

New York

Registered Investment Advisory firm - (6/24/2021 Terminated)

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Contact information

Main Address

9819 Graphite Mountain Rd, Hague, NY 12836

Mailing Address

Phone number

(908) 377-4202

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- PARLIN ADVISORS LLC (3/18/2025)

Regulatory assets under management

Total Number of Accounts	114
AUM (Assets Under Management)	$ 59,512,256

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.

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Kenneth B. Parlin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth B Parlin's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

PARLIN INVESTMENTS LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

JPMSI

Primary Firm SEC Registration

PARLIN ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/20/2019

Series 63

Date: 1/7/2012

SIE

Date: 10/1/2018

Series 7

Date: 12/23/2011

Series 31

Date: 1/21/2003

Current Firm

PARLIN ADVISORS LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PARLIN ADVISORS LLC

TRUST BUT VERIFY

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