KS
Kenneth A. Smith
APOLLON WEALTH MANAGEMENT
Rockville, MD 20852
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CRD#: 5742217
KS
Professional summary
Kenneth Andrew Smith, AIF® is a registered financial advisor currently at APOLLON WEALTH MANAGEMENT, LLC located in Rockville, Maryland.
Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Kenneth has 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"?
Yes
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.
- Fixed Insurance - CIC Risk. Not Investment Related. 25 Crossroads, Suite 400, Owings Mills, MD 21117. Fixed Insurance. Sales. 11/2017. 5 Hrs/Mo; All During Trading Hours. Sales and Service of Fixed Insurance Business through Multiple Insurance Providers. - More Than Money; Investment Related, Yes; 10612 Hillingdon Road Woodstock, MD 21163; Facilitation of Family Planning; Owner; Start Date10/1/2023; Hrs/Mth 0; Hrs/Mth during trading 0; More Than Money provides family meeting facilitation for the purpose of creating family unity around values, philanthropy, family governess, education of the rising generation etc. - HCK, LLC | Entity for Business Operations; Holding Company for managing revenue and expenses for securities business activity. | No securities business is conducted through this entity, this services solely as a holding company. - Breaking Away FS: Not investment related, 10612 Hillingdon Road Woodstock, MD 21163; Principal; Start Date 8/1/2024; Hrs/Mth 40; Hrs/Mth during trading 40;Institutional Structured Finance of Life Insurance for the ultra-high net worth market
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Andrew Smith'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®
Experience
Current
October 7, 2024 - Present
APOLLON WEALTH MANAGEMENT, LLC
Office #1: 1101 Wootton Parkway Suite 980, Rockville, MD 20852RIA
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
BD
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
BD
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
BD
CRD#: 46173
SPARKS, MD
Past
December 17, 2009 - January 7, 2010
HORNOR, TOWNSEND & KENT, LLC
BD
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".
AW
APOLLON WEALTH MANAGEMENT, LLC
ADI DASSLER INTERNATIONAL FAMILY OFFICE | WESTSIDE WEALTH MANAGEMENT OF APOLLON | WEALTH EMPOWERMENT FINANCIAL GROUP | TREE CITY ADVISORS OF APOLLON | TELOS WEALTH ADVISORS | SUNSHINE WEALTH ADVISORS, LLC | PROPER WEALTH MANAGEMENT | PRISM ADVISORY GROUP | PODESTA CAPITAL APOLLON | PIERSHALE FINANCIAL GROUP OF APOLLON | PELLEY GROUP OF APOLLON | LIVETRAC | JE WILSON OF APOLLON | JASON YOUNG AND ASSOCIATES | CJL | CJ LAWRENCE, A DIVISION OF APOLLON WEALTH MANAGEMENT | CIC WEALTH | CATALYST APOLLON | CASCADE APOLLON | BLUECHIP WEALTH MANAGEMENT | APOLLON WEALTH MANAGEMENT, LLC | APOLLON NEW ENGLAND | APOLLON BRIDGEMARK
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.
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
Maryland(10/7/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AW
APOLLON WEALTH MANAGEMENT, LLC
ADI DASSLER INTERNATIONAL FAMILY OFFICE | WESTSIDE WEALTH MANAGEMENT OF APOLLON | WEALTH EMPOWERMENT FINANCIAL GROUP | TREE CITY ADVISORS OF APOLLON | TELOS WEALTH ADVISORS | SUNSHINE WEALTH ADVISORS, LLC | PROPER WEALTH MANAGEMENT | PRISM ADVISORY GROUP | PODESTA CAPITAL APOLLON | PIERSHALE FINANCIAL GROUP OF APOLLON | PELLEY GROUP OF APOLLON | LIVETRAC | JE WILSON OF APOLLON | JASON YOUNG AND ASSOCIATES | CJL | CJ LAWRENCE, A DIVISION OF APOLLON WEALTH MANAGEMENT | CIC WEALTH | CATALYST APOLLON | CASCADE APOLLON | BLUECHIP WEALTH MANAGEMENT | APOLLON WEALTH MANAGEMENT, LLC | APOLLON NEW ENGLAND | APOLLON BRIDGEMARK
CRD#: 291902 / SEC#: 801-112350
RIA
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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)
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.
