KM
Kenneth F. Main
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CRD#: 3147756
KM
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 Frederick Main was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1998. Kenneth had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
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) Forefront Tax Partners. Noninvestment Related. 5700 Rialto Blvd Bldg 1. Suite 250 Austin Texas, 78735. Title: Director, CPA, Tax Preparer. Start Date: 02/01/2021. Hours Per Month: 10-20 Hours. Duties: Gather client tax documents, Meet with them to discuss their returns and prepare and file their tax return. 2) Agency One. Noninvestment Related. 11200 Rockville Pike, Suite 500, Rockville, MD, 20852. Title: Life Insurance Agent. Start Date: 02/01/2021. Hours Per Month: 10-20 Hours. Duties: Uncover clients' life insurance needs and sell life insurance products that meet their needs and are in their best interest. 3) Forefront Insurance Partners. Noninvestment Related. 5700 Rialto Blvd Bldg 1. Suite 250 Austin Texas, 78735. Title: Life Insurance Agent. Start Date: 08/2021. Hours Per Month: 10-20 Hours. Duties: Duties: Uncover clients' life insurance needs and sell life insurance products that meet their needs and are in their best interest. 4) Calton & Associates, Inc. (CRD# 20999). 2701 N Rocky Pointe Drive, Suite 1000, Tampa, FL, 33607. Title: Investment Advisor Representative and Registered Representative. Start Date: 02/2021. Hours Per Month: 40-60 Hours. Duties: Meet with clients to draft and present comprehensive financial, tax, and investment plans, to oversee and provide ongoing management of client investment accounts, and to select and sell specific investment securities when in the best interest of the client.
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®
NoneExperience
Past
September 7, 2021 - December 9, 2022
FOREFRONT
RIA
CRD#: 308521
AUSTIN, TX
Past
February 1, 2021 - December 7, 2022
CALTON & ASSOCIATES, INC.
RIA
CRD#: 20999
Austin, TX
Past
February 1, 2021 - December 7, 2022
CALTON & ASSOCIATES, INC.
BD
CRD#: 20999
Austin, TX
Past
September 9, 2010 - December 31, 2010
LEVEL FOUR ADVISORY SERVICES
RIA
CRD#: 134086
ROUND ROCK, TX
Past
January 13, 2004 - December 17, 2020
OSAIC FS, INC.
RIA
CRD#: 3870
ROUND ROCK, TX
Past
July 8, 2000 - December 17, 2020
OSAIC FS, INC.
BD
CRD#: 3870
ROUND ROCK, TX
Past
December 14, 1998 - July 8, 2000
POLARIS FINANCIAL SERVICES, INC.
BD
CRD#: 14521
CONCORD, NH
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".
FO
FOREFRONT
CHALK MONEY | THE 401(K) ADVISOR | SUMMIT ADVISORS, LLC | PRINCIPATUS WEALTH | POINT2 CAPITAL PARTNERS | PACE FINANCIAL SERVICES | NAMA PRIVATE WEALTH | MOUNTAIN HIGH WEALTH MANAGEMENT | MINDFUL FINANCIAL PARTNERS | LEONE AND COMPANY WEALTH MANAGEMENT | FOUR LEAF FINANCIAL PLANNING | FOREFRONT WEALTH PARTNERS, LLC | FOREFRONT WEALTH PARTNERS | FOREFRONT ADVISOR NETWORK | FOREFRONT | COAST FINANCIAL
CRD#: 308521 / SEC#: 801-130608
RIA
Registered Investment Advisory firm - (7/5/2024 Approved)Alaska
Registered Investment Advisory firm - (10/15/2024 Terminated)California
Registered Investment Advisory firm - (8/21/2024 Terminated)Florida
Registered Investment Advisory firm - (7/22/2024 Terminated)Michigan
Registered Investment Advisory firm - (7/29/2024 Terminated)New Hampshire
Registered Investment Advisory firm - (7/26/2024 Terminated)Ohio
Registered Investment Advisory firm - (7/22/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/24/2024 Terminated)Texas
Registered Investment Advisory firm - (7/22/2024 Terminated)Virginia
Registered Investment Advisory firm - (7/23/2024 Terminated)Washington
Registered Investment Advisory firm - (8/26/2024 Terminated)Wisconsin
Registered Investment Advisory firm - (7/22/2024 Terminated)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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FO
FOREFRONT
CHALK MONEY | THE 401(K) ADVISOR | SUMMIT ADVISORS, LLC | PRINCIPATUS WEALTH | POINT2 CAPITAL PARTNERS | PACE FINANCIAL SERVICES | NAMA PRIVATE WEALTH | MOUNTAIN HIGH WEALTH MANAGEMENT | MINDFUL FINANCIAL PARTNERS | LEONE AND COMPANY WEALTH MANAGEMENT | FOUR LEAF FINANCIAL PLANNING | FOREFRONT WEALTH PARTNERS, LLC | FOREFRONT WEALTH PARTNERS | FOREFRONT ADVISOR NETWORK | FOREFRONT | COAST FINANCIAL
CRD#: 308521 / SEC#: 801-130608
RIA
Registered Investment Advisory firm - (7/5/2024 Approved)Alaska
Registered Investment Advisory firm - (10/15/2024 Terminated)California
Registered Investment Advisory firm - (8/21/2024 Terminated)Florida
Registered Investment Advisory firm - (7/22/2024 Terminated)Michigan
Registered Investment Advisory firm - (7/29/2024 Terminated)New Hampshire
Registered Investment Advisory firm - (7/26/2024 Terminated)Ohio
Registered Investment Advisory firm - (7/22/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/24/2024 Terminated)Texas
Registered Investment Advisory firm - (7/22/2024 Terminated)Virginia
Registered Investment Advisory firm - (7/23/2024 Terminated)Washington
Registered Investment Advisory firm - (8/26/2024 Terminated)Wisconsin
Registered Investment Advisory firm - (7/22/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
7500 Rialto Blvd, Bldg 1 Suite 250, Austin, TX 78735
Mailing Address
Phone number
(512) 617-1984
Established
Firm type
Fiscal year end
# of Employees
15
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,382 |
| AUM (Assets Under Management) | $ 239,835,320 |
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.
