Kenneth A. Smith

CRD#: 5742217

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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 Andrew Smith, AIF® was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 2009. Kenneth had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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®

AIF^®

Accredited Investment Fiduciary

Experience

Past

October 7, 2024 - March 27, 2026

APOLLON WEALTH MANAGEMENT, LLC

RIA

CRD#: 291902

Rockville, MD

Past

November 13, 2017 - December 31, 2024

CIC WEALTH, LLC

RIA

CRD#: 290198

OWING MILLS, MD

Past

November 13, 2017 - February 1, 2019

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Owing Mills, MD

Past

January 3, 2013 - November 14, 2017

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

OWINGS MILLS, MD

Past

January 3, 2013 - November 14, 2017

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

OWINGS MILLS, MD

Past

March 6, 2012 - December 5, 2012

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

SPARKS, MD

Past

March 5, 2010 - December 5, 2012

PARK AVENUE SECURITIES LLC

CRD#: 46173

SPARKS, MD

Past

December 17, 2009 - January 7, 2010

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

HUNT VALLEY, MD

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".

APOLLON WEALTH MANAGEMENT, LLC

CRD#: 291902 / SEC#: 801-112350

RIA

Registered Investment Advisory firm - (1/22/2018 Approved)

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.

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 65

Date: 1/6/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/8/2010

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: 4/16/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/16/2009

Investment Company Products/Variable Contracts Representative Examination

Current Firm

APOLLON WEALTH MANAGEMENT, LLC

CRD#: 291902 / SEC#: 801-112350

RIA

Registered Investment Advisory firm - (1/22/2018 Approved)

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Contact information

Main Address

111 Coleman Blvd Suite 402, Mount Pleasant, SC 29464

Mailing Address

Phone number

(843) 579-0018

Established

Firm type

Fiscal year end

# of Employees

179

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APOLLON WEALTH MANAGEMENT, LLC - PART 2A BROCHURE (1/20/2026)

Regulatory assets under management

Total Number of Accounts	20,798
AUM (Assets Under Management)	$ 7,720,756,861

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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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kenneth A. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CIC WEALTH, LLC

PURSHE KAPLAN STERLING INVESTMENTS

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

HORNOR, TOWNSEND & KENT, LLC

Primary Firm SEC Registration

APOLLON WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/6/2012

Series 63

Date: 1/8/2010

SIE

Date: 10/1/2018

Series 7

Date: 4/16/2013

Series 6

Date: 12/16/2009

Current Firm

APOLLON WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

APOLLON WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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