Stephen A. Kohn & Associates, Ltd. is fully disclosed introducing Broker/Dealer utilizing the clearing services of National Financial Services, LLC, ("NFS"), a New York Stock Exchange member firm. The Firm is in direct communication with NFS at all times and has complete access to all client records. Through the services of NFS, the Firm is able to consolidate all client mutual fund holdings within the client account thereby giving the client a single statement view of his investments and the registered representative a greater degree of control of his clients assets.
Stephen A. Kohn & Associates, Ltd. is also a Registered Investment Advisor established for the express purpose of providing the mechanism for our registered representatives to provide financial planning services, fee-based account services and money management services.
All departments -- Trading, New Accounts, Registrations, Compliance & Corporate Finance -- are all located at the Corporate Headquarters in Lakewood, Colorado.