Kenneth L. Basel

STEPPING STONE ADVISORS

SUPERIOR TOWNSHIP, MI

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CRD#: 5341788

Professional summary

Kenneth Lee Basel JR, CFP®, who also goes by Kenneth Lee Basel, Kenneth Basel, is a registered financial advisor currently at STEPPING STONE ADVISORS, LLC located in Superior Township, Michigan.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Kenneth has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kenneth Lee Basel | Kenneth Basel

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.

Kenneth Basel is currently employed as a Personal Financial Counselor by the Department of Defense/Office of the Secretary of Defense. This activity accounts for approximately 50% of his time.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Lee Basel JR's 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

Experience

Current

March 27, 2019 - Present

STEPPING STONE ADVISORS, LLC

RIA

CRD#: 300868

SUPERIOR TOWNSHIP, MI

Past

September 8, 2015 - December 22, 2016

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

RICHFIELD, OH

Past

August 24, 2015 - December 22, 2016

CHARLES SCHWAB & CO., INC.

CRD#: 5393

RICHFIELD, OH

Past

February 23, 2012 - June 19, 2012

PFS INVESTMENTS INC.

RIA

CRD#: 10111

CLEVELAND, OH

Past

February 21, 2012 - June 19, 2012

PFS INVESTMENTS INC.

CRD#: 10111

CLEVELAND, OH

Past

September 27, 2007 - March 24, 2010

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

CLEVELAND, OH

Past

September 5, 2007 - March 24, 2010

MML INVESTORS SERVICES, LLC

CRD#: 10409

CLEVELAND, 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.

Highlighted states indicate IAR registrations

IAR

Ohio
(3/27/2019)

IAR

Virginia
(8/25/2021)

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 66

Date: 9/5/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/22/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/24/2015

General Securities Representative Examination

Current Firm

STEPPING STONE ADVISORS, LLC

STEPPING STONE ADVISORS | STEPPING STONE ADVISORS, LLC

CRD#: 300868 / SEC#:

Michigan

Registered Investment Advisory firm - (9/22/2021 Terminated)

Ohio

Registered Investment Advisory firm - (3/27/2019 Approved)

Virginia

Registered Investment Advisory firm - (8/25/2021 Approved)

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

Alexandria, VA

Mailing Address

Phone number

(440) 241-8687

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 137,000

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 L. Basel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Lee Basel JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

STEPPING STONE ADVISORS, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

PFS INVESTMENTS INC.

PFS INVESTMENTS INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/5/2015

SIE

Date: 12/22/2016

Series 7

Date: 8/24/2015

Current Firm

STEPPING STONE ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

STEPPING STONE ADVISORS, LLC

TRUST BUT VERIFY

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