Kenneth S. Auman

LRI INVESTMENTS

Chapel Hill, NC

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CRD#: 6120230

Professional summary

Kenneth Scott Auman, CFP® is a registered financial advisor currently at LRI INVESTMENTS located in Chapel Hill, North Carolina.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Kenneth has worked at 2 firms and has passed the Series 65 exam.

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.

1) LINDBERG & RIPPLE, INC.; 29 South Main Street, Suite 311, West Hartford, CT 06107; M Financial Group Member Firm; Investment Related; Investment Advisor Representative; Wealth Management Services; 10/12/2012; 155 hours/month; 140 hours/month during business hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Scott Auman'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

Experience

Current

April 1, 2024 - Present

LRI INVESTMENTS

Office #2: 29 South Main Street Suite 210, West Hartford, CT 06107

RIA

CRD#: 323556

Chapel Hill, NC

Past

October 12, 2012 - March 29, 2024

M HOLDINGS SECURITIES, INC.

RIA

CRD#: 43285

WEST HARTFORD, CT

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".

LRI INVESTMENTS

CRD#: 323556 / SEC#: 801-127277

RIA

Registered Investment Advisory firm - (4/12/2024 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

Connecticut
(4/1/2024)

IAR

North Carolina
(4/1/2024)

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: 10/11/2012

Uniform Investment Adviser Law Examination

Current Firm

LRI INVESTMENTS

CRD#: 323556 / SEC#: 801-127277

RIA

Registered Investment Advisory firm - (4/12/2024 Approved)

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Contact information

Main Address

3825 Pga Blvd Suite 303, Palm Beach Gardens, FL 33410

Mailing Address

Phone number

(561) 323-2265

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LRI INVESTMENTS, LLC DISCLOSURE BROCHURE (8/15/2025)

Regulatory assets under management

Total Number of Accounts	1,295
AUM (Assets Under Management)	$ 1,404,038,363

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 S. Auman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Scott Auman's CRS (Customer Relationship Summary).

Certified licenses

Experience

LRI INVESTMENTS

M HOLDINGS SECURITIES, INC.

Primary Firm SEC Registration

LRI INVESTMENTS

State Registrations and Notice Filings

Exams

Series 65

Date: 10/11/2012

Current Firm

LRI INVESTMENTS

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LRI INVESTMENTS

TRUST BUT VERIFY

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