Kerry Scott Andrews | Financial Professional

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.

Kerry Scott Andrews was a registered financial professional .

Kerry is a previously registered financial professional and started their career in finance in 1970. Kerry had worked at 15 firms and has passed the Series 63, SIE, Series 55, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

No

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®

None

Experience

Past

May 30, 2014 - December 31, 2016

L.M. KOHN & COMPANY

BD

CRD#: 27913

TULLY, NY

Past

July 23, 2012 - May 19, 2014

SEAPORT SECURITIES CORP.

BD

CRD#: 8330

NEW YORK, NY

Past

June 22, 2010 - January 25, 2012

PENSON FINANCIAL SERVICES, INC.

BD

CRD#: 25866

DALLAS, TX

Past

September 12, 2005 - January 23, 2012

APEX CLEARING CORPORATION

BD

CRD#: 13071

JERSEY CITY, NJ

Past

March 22, 2000 - September 12, 2005

APEX CLEARING CORPORATION

BD

CRD#: 13071

DALLAS, TX

Past

October 27, 1998 - May 10, 2000

GARDEN STATE SECURITIES, INC.

BD

CRD#: 10083

RED BANK, NJ

Past

February 27, 1998 - October 5, 1998

GREEN BROOK SECURITIES, INC.

BD

CRD#: 42797

BIRMINGHAM, AL

Past

October 27, 1993 - August 3, 1999

AMERICAN THIRD MARKET CO., LLC

BD

CRD#: 34361

NEW YORK, NY

Past

October 2, 1992 - July 21, 1993

AMERICAN SECURITIES BD CO., L.P.

BD

CRD#: 41

NEW YORK, NY

Past

June 26, 1991 - September 29, 1992

HIGHLANDER CAPITAL GROUP, INC.

BD

CRD#: 19074

SHORT HILLS, NJ

Past

March 8, 1990 - June 21, 1991

RICKEL & ASSOCIATES, INC.

BD

CRD#: 7839

NEW YORK, NY

Past

December 24, 1987 - February 17, 1990

SHELTER ROCK SECURITIES CORP.

BD

CRD#: 11043

Past

June 21, 1984 - January 20, 1988

GEORGE R. FAIRWEATHER SECURITIES, INC.

BD

CRD#: 10122

Past

September 16, 1983 - March 26, 1984

THOMSON MCKINNON SECURITIES INC.

BD

CRD#: 829

Past

September 4, 1980 - August 22, 1983

AMERICAN SECURITIES BD CO., L.P.

BD

CRD#: 41

Past

December 28, 1977 - September 21, 1980

DEUTSCHE BANK CAPITAL CORPORATION

BD

CRD#: 5323

Past

August 5, 1970 - February 16, 1978

SINGER SECURITIES

BD

CRD#: 834

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".

LK

L.M. KOHN & COMPANY

CRD#: 27913 / SEC#: 801-38116, 8-43303

RIA

Registered Investment Advisory firm - SEC (1/18/1991 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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

RR

Series 63

Date: 6/16/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 55

Date: 9/1/2004

Limited Representative-Equity Trader Exam

General Industry/Product Exam

RR

Series 1

Date: 7/29/1970

Registered Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 5/21/1985

General Securities Principal Examination

Current Firm

LK

L.M. KOHN & COMPANY

CRD#: 27913 / SEC#: 801-38116, 8-43303

RIA

Registered Investment Advisory firm - SEC (1/18/1991 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

10151 Carver Rd. Suite 100, Cincinnati, OH 45242

Mailing Address

10151 Carver Rd. Suite 100, Cincinnati, OH 45242

Phone number

(513) 792-0301

Established

Ohio since 11/27/1990

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

85

SEC notice filing (5 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A 04-08-2025 (4/8/2025)

WRAP FEE PROGRAM BROCHURE 04-08-2025 (4/8/2025)

Direct owners and executive officers

Name	Position	CRD#
KOHN, LARRY MICHAEL	CEO/COB/TREASURER	1063493
CHESS, ROBERT HUBERT JR	CHIEF COMPLIANCE OFFICER	2444560
HOLLISTER, CARL ROBERT	PRESIDENT	1953484
KOHN, ANDREW LEONARD	VICE-PRESIDENT/SECRETARY/ASSISTANT TREASURER	6081667

Regulatory assets under management

Total Number of Accounts	5,799
AUM (Assets Under Management)	$ 2,091,208,747

Disclosures

Regulatory Event

1

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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Advisor Monitoring

Firm Stability Insights

Kerry S. Andrews

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SEAPORT SECURITIES CORP.

PENSON FINANCIAL SERVICES, INC.

APEX CLEARING CORPORATION

APEX CLEARING CORPORATION

GARDEN STATE SECURITIES, INC.

GREEN BROOK SECURITIES, INC.

AMERICAN THIRD MARKET CO., LLC

AMERICAN SECURITIES BD CO., L.P.

HIGHLANDER CAPITAL GROUP, INC.

RICKEL & ASSOCIATES, INC.

SHELTER ROCK SECURITIES CORP.

GEORGE R. FAIRWEATHER SECURITIES, INC.

THOMSON MCKINNON SECURITIES INC.

AMERICAN SECURITIES BD CO., L.P.

DEUTSCHE BANK CAPITAL CORPORATION

SINGER SECURITIES

Primary Firm SEC Registration

L.M. KOHN & COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 6/16/1982

SIE

Date: 12/31/2016

Series 55

Date: 9/1/2004

Series 1

Date: 7/29/1970

Series 24

Date: 5/21/1985

Current Firm

L.M. KOHN & COMPANY

Contact information

SEC notice filing (5 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

L.M. KOHN & COMPANY

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