Stephen C. Dennis

LINCOLN DOUGLAS INVESTMENTS

Mt. Vernon, OH 43050

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CRD#: 4453049

Professional summary

Stephen Christopher Dennis, who also goes by Stephen C. Dennis, is a registered financial advisor currently at LINCOLN DOUGLAS INVESTMENTS, LLC located in Mt. Vernon, Ohio.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Stephen has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen C. Dennis

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 Stephen Christopher Dennis's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Stephen Christopher Dennis'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 25, 2012 - Present

LINCOLN DOUGLAS INVESTMENTS, LLC

Office #1: 1051 Newark Rd, Mt. Vernon, OH 43050

RIA

CRD#: 155578

Mt. Vernon, OH

Current

July 12, 2011 - Present

LINCOLN DOUGLAS INVESTMENTS, LLC

Office #1: 1051 Newark Rd, Mt. Vernon, OH 43050

RIA

CRD#: 155578

Mt. Vernon, OH

Past

March 1, 2007 - June 24, 2011

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

MT. VERNON, OH

Past

October 3, 2001 - March 1, 2007

CAPITAL SECURITIES OF AMERICA, INC.

CRD#: 36405

MT. VERNON, 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
(11/14/2011)

Alaska
(1/31/2014)

Arizona
(2/8/2018)

Arkansas
(7/5/2022)

California
(7/14/2021)

Colorado
(9/29/2011)

Connecticut
(3/6/2018)

District of Columbia
(3/15/2022)

Florida
(9/21/2011)

Georgia
(2/5/2014)

Illinois
(9/7/2011)

Indiana
(11/16/2012)

Kansas
(11/4/2021)

Kentucky
(8/30/2011)

Massachusetts
(3/13/2015)

Michigan
(8/30/2011)

Mississippi
(1/11/2012)

New Hampshire
(10/1/2014)

New Jersey
(8/24/2021)

New Mexico
(1/7/2019)

New York
(9/4/2014)

North Carolina
(9/2/2015)

North Dakota
(10/5/2011)

Ohio
(7/13/2011)

IAR

Ohio
(1/25/2012)

Oklahoma
(5/16/2024)

Oregon
(10/1/2018)

Pennsylvania
(10/21/2011)

South Carolina
(8/31/2011)

South Dakota
(3/20/2019)

Texas
(9/28/2011)

Utah
(1/30/2012)

Virginia
(1/26/2012)

West Virginia
(11/4/2011)

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.

Exams

State Security Law Exam

Series 63

Date: 12/1/2010

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: 9/21/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/2/2001

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

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

Stephen C. Dennis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Christopher Dennis's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Stephen Christopher Dennis's CRS (Customer Relationship Summary).

Certified licenses

Experience

LINCOLN DOUGLAS INVESTMENTS, LLC

B. RILEY WEALTH MANAGEMENT

CAPITAL SECURITIES OF AMERICA, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/1/2010

SIE

Date: 10/1/2018

Series 7

Date: 9/21/2002

Series 6

Date: 10/2/2001

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

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