Kenneth E. Stone

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CRD#: 3108596

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 Edward Stone was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1998. Kenneth had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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.

The advisor shows no other business activity.

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®

None

Experience

Past

August 30, 2016 - May 31, 2019

LINCOLN DOUGLAS INVESTMENTS, LLC

RIA

CRD#: 155578

Acworth, GA

Past

August 3, 2016 - May 31, 2019

LINCOLN DOUGLAS INVESTMENTS, LLC

CRD#: 155578

Acworth, GA

Past

May 16, 2016 - August 24, 2016

LEGEND ADVISORY, LLC

RIA

CRD#: 104761

Douglasville, GA

Past

March 11, 2016 - August 24, 2016

LEGEND EQUITIES CORPORATION

CRD#: 30999

Douglasville, GA

Past

January 11, 2016 - March 9, 2016

CAPE SECURITIES INC.

CRD#: 7072

MCDONOUGH, GA

Past

October 6, 2014 - January 8, 2016

DEMPSEY LORD SMITH, LLC

RIA

CRD#: 141238

DOUGLASVILLE, GA

Past

October 1, 2014 - January 8, 2016

DEMPSEY LORD SMITH, LLC

CRD#: 141238

ROME, GA

Past

November 7, 2011 - September 30, 2014

RESOURCE HORIZONS INVESTMENT ADVISORY, INC.

RIA

CRD#: 143384

DOUGLASVILLEG, GA

Past

November 4, 2011 - September 30, 2014

RESOURCE HORIZONS GROUP LLC

CRD#: 104368

DOUGLASVILLE, GA

Past

October 25, 2011 - November 3, 2011

PEAK BROKERAGE SERVICES, LLC

CRD#: 157045

JUPITER, FL

Past

October 24, 2011 - November 7, 2011

PEAK WEALTH GROUP LLC

RIA

CRD#: 150003

ROSWELL, GA

Past

October 6, 2005 - August 15, 2006

KOVACK SECURITIES INC.

RIA

CRD#: 44848

DOUGLASVILLE, GA

Past

October 6, 2005 - October 24, 2011

KOVACK ADVISORS, INC.

RIA

CRD#: 140808

FT. LAUDERDALE, FL

Past

September 30, 2005 - October 24, 2011

KOVACK SECURITIES INC.

CRD#: 44848

DOUGLASVILLE, GA

Past

May 12, 2004 - September 30, 2005

GUNNALLEN FINANCIAL, INC

RIA

CRD#: 17609

BRADENTON, FL

Past

May 7, 2004 - September 30, 2005

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

October 27, 2000 - May 26, 2004

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SARASOTA, FL

Past

October 27, 2000 - May 26, 2004

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

October 1, 1998 - November 2, 2000

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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

IAR

Series 65

Date: 8/14/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/6/1998

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: 9/30/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/6/2004

General Securities Principal Examination

Current Firm

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).

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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.

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Advisor Monitoring

Firm Stability Insights

Kenneth E. Stone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LINCOLN DOUGLAS INVESTMENTS, LLC

LEGEND ADVISORY, LLC

LEGEND EQUITIES CORPORATION

CAPE SECURITIES INC.

DEMPSEY LORD SMITH, LLC

DEMPSEY LORD SMITH, LLC

RESOURCE HORIZONS INVESTMENT ADVISORY, INC.

RESOURCE HORIZONS GROUP LLC

PEAK BROKERAGE SERVICES, LLC

PEAK WEALTH GROUP LLC

KOVACK SECURITIES INC.

KOVACK ADVISORS, INC.

KOVACK SECURITIES INC.

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/14/2000

Series 63

Date: 11/6/1998

SIE

Date: 10/1/2018

Series 7

Date: 9/30/1998

Series 24

Date: 12/6/2004

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

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