DMK ADVISOR GROUP, INC. of LUTZ, FL is an SEC-registered investment adviser (CRD 41067). Regulatory assets under management: $130.8M.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Douglas A Ray | DIRECTOR | White Plains, NY |
| Peter B Galligan | FINOP | — |
| Harold Alan Schwartz | CEO/PRINCIPAL | — |
| John David Ohman | ROP/CROP | — |
| Jorge Ramon Perez | DIRECTOR | — |
| Janak R Desai | DIRECTOR | — |
| Sunil Dutt Misra | DIRECTOR/PRINCIPAL | — |
| Kelvin Ray Douglas | DIRECTOR | — |
| Erin Elaine Baskett | CHIEF COMPLIANCE OFFICER | — |
| Barry Julian Grosman | DIRECTOR | — |
| Stephen Alan Kohn | MUNI PRINCIPAL | — |
| NORTON ARTHUR LAURENCE JR | DIRECTOR | — |
| SCHWARTZ ALAN | CEO/PRINCIPAL; DIRECTOR | — |
| BASKETT ERIN ELAINE | CHIEF COMPLIANCE OFFICER | — |
| KOHN LARRY ALAN | PRES; PRES/CCO | — |
| SLACK NICOLE SCHMIDT | GP/VP | — |
| GALLIGAN PETER B | FINOP | — |
| OHMAN JOHN DAVID | ROP/CROP | — |
| PEREZ JORGE RAMON | DIRECTOR | — |
| DESAI JANAK R | DIRECTOR | — |
| MISRA SUNIL DUTT | DIRECTOR; DIRECTOR/PRINCIPAL | — |
| MORRILL JOHN EDGAR | DIRECTOR | — |
| PEDROSA-MENABRITO ALBERTO | DIRECTOR | — |
| GROSMAN BARRY JULIAN | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-05-17 | regulatory | THE FIRM FAILED TO HAVE A SUPERVISORY SYSTEM, INCLUDING WSPS, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH IT'S FORM CRS OBLIGATIONS, AND THE FIRM FAILED TO TIMELY DELIVER FORM CRS TO CERTAIN CUSTOMERS. THE FIRM FAILED TO HAVE A SUPERVISORY SYSTEM, INCLUDING WSPS, REASONABLY DESIGNED TO ACHIEVE CO… | Final | $35K |
| 2012-11-20 | regulatory | FINRA RULES 2010, 3010(C), 3310(C), NASD RULES 2110,3011(C), MSRB RULES G-27(D), G-41 - STEPHEN A. KOHN & ASSOCIATES' PRESIDENT AND CHIEF COMPLIANCE OFFICER (CCO) CONDUCTED WHAT WAS PURPORTED TO BE A TEST OF THE FIRM'S ANTI-MONEY LAUNDERING (AML) COMPLIANCE PROCEDURES AND THE PREPARATION AND EXECUTI… | Final | $15K |
| 2006-06-19 | regulatory | NASD RULES 1120, 2110, 3011, MSRB RULE G-41 - RESPONDENT MEMBER FAILED TO IMPLEMENT A WRITTEN ANTI-MONEY LAUNDERING PROGRAM REASONABLY DESIGNED TO ACHIEVE AND MONITOR COMPLIANCE WITH THE REQUIREMENTS OF THE BANK SECRECY ACT AND THE REGULATIONS PROMULGATED THEREUNDER. THE FINDING STATED THAT A NUMBER… | Final | $8K |
| 1997-09-01 | regulatory | VIOLATION NASD RULE 2110 - FAILED TO MAINTAIN NET CAPITAL AS REQUIRED UNDER SEC RULE 15C-3-1 | Final | $1K |
| — | regulatory | — | — | — |