Kenneth J. Dean

WINTHROP WEALTH

BOSTON, MA 02116-5168

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CRD#: 4567381

Professional summary

Kenneth James Dean, CFP®, who also goes by Ken Dean, Kenneth J Dean, is a registered financial advisor currently at WINTHROP WEALTH located in Boston, Massachusetts.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Kenneth has worked at 10 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Tax Planning

Comprehensive Financial Planni...

Retirement Planning

Investment Planning

What is your minimum asset requirement?

Are you a "fiduciary"?

Yes

Aliases

Ken Dean | Kenneth J Dean

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.

04/20/2018 - Kenneth Dean CPA - Tax Prep/Accounting/CPA - investment related - at reported business location(s) - start: 04/2018 - 10 hr/mth - 1hr/day

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth James Dean'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: 2002

Experience

Current

May 7, 2018 - Present

WINTHROP WEALTH

Office #1: 321 Columbus Ave 3rd Fl, Boston, MA 02116-5168

RIA

CRD#: 288178

BOSTON, MA

Past

August 7, 2018 - November 5, 2024

LPL FINANCIAL LLC

CRD#: 6413

BOSTON, MA

Past

January 14, 2016 - July 24, 2017

PEAK FINANCIAL MANAGEMENT INC

RIA

CRD#: 110559

WALTHAM, MA

Past

November 18, 2008 - December 31, 2012

TRIAD ADVISORS LLC

CRD#: 25803

BEDFORD, NH

Past

February 22, 2008 - January 8, 2013

GRANITE STATE RETIREMENT PLANNING, INC.

RIA

CRD#: 141899

BEDFORD, NH

Past

February 11, 2008 - November 21, 2008

OSAIC SERVICES, INC.

CRD#: 133763

BEDFORD, NH

Past

November 23, 2005 - September 15, 2006

EQUITY SERVICES, INC.

CRD#: 265

FRAMINGHAM, MA

Past

March 17, 2004 - June 21, 2005

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

June 10, 2003 - August 12, 2003

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

MANCHESTER, NH

Past

June 10, 2003 - August 12, 2003

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 16, 2003 - May 2, 2003

MONEY CONCEPTS CAPITAL CORP

RIA

CRD#: 12963

BEDFORD, NH

Past

September 25, 2002 - May 2, 2003

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

PALM BEACH GARDENS, FL

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".

WINTHROP WEALTH

CRD#: 288178 / SEC#: 801-110461

RIA

Registered Investment Advisory firm - (4/28/2017 Approved)

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

Massachusetts
(5/7/2018)

IAR

New Hampshire
(8/17/2021)

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

Series 63

Date: 8/27/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/15/2002

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/7/2018

General Securities Representative Examination

Current Firm

WINTHROP WEALTH

CRD#: 288178 / SEC#: 801-110461

RIA

Registered Investment Advisory firm - (4/28/2017 Approved)

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Contact information

Main Address

321 Columbus Ave 3rd Fl, Boston, MA 02116-5168

Mailing Address

Phone number

(617) 530-1010

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR WINTHROP ADVISORY GROUP, LLC (3/21/2025)

WRAP FEE BROCHURE FOR WINTHROP ADVISORY GROUP, LLC (3/20/2025)

Regulatory assets under management

Total Number of Accounts	3,872
AUM (Assets Under Management)	$ 2,600,886,145

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Kenneth J. Dean

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth James Dean's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

PEAK FINANCIAL MANAGEMENT INC

TRIAD ADVISORS LLC

GRANITE STATE RETIREMENT PLANNING, INC.

OSAIC SERVICES, INC.

EQUITY SERVICES, INC.

FIDELITY BROKERAGE SERVICES LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MONEY CONCEPTS CAPITAL CORP

MONEY CONCEPTS CAPITAL CORP

Primary Firm SEC Registration

WINTHROP WEALTH

State Registrations and Notice Filings

Exams

Series 63

Date: 8/27/2018

Series 65

Date: 10/15/2002

SIE

Date: 10/1/2018

Series 7

Date: 8/7/2018

Current Firm

WINTHROP WEALTH

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WINTHROP WEALTH

TRUST BUT VERIFY

Contact information

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