Kenneth Lee Basel

Employer firm

Stepping Stone Advisors, LLC CRD 300868

$540.8K regulatory AUM 9 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Stepping Stone Advisors, Llc

North Ridgeville, OH • United States

Current Registrations

Authority	Category	Status	Date
VA	RA	APPROVED	2021-08-25
OH	RA	APPROVED	2019-03-27

VA RA
APPROVED

Since 2021-08-25
OH RA
APPROVED

Since 2019-03-27

Branch Locations

Superior Township, MI • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Charles Schwab & Co., Inc.	Richfield	OH	12/2014	12/2016
Department Of Defense/Office Of Secretary Of Defense	Woodbridge	VA	01/2017	Present
Stepping Stone Advisors, Llc	Alexandria	VA	09/2018	Present

12/2014 → 12/2016

Charles Schwab & Co., Inc.

Richfield, OH
01/2017 → Present

Department Of Defense/Office Of Secretary Of Defense

Woodbridge, VA
09/2018 → Present

Stepping Stone Advisors, Llc

Alexandria, VA

Previous Registrations

2015-09-08 → 2016-12-22

Charles Schwab & Co., Inc.

Richfield, OH
2012-02-23 → 2012-06-19

Pfs Investments Inc.

Lakewood, OH
2007-09-27 → 2010-03-24

Mml Investors Services, Llc

Cleveland, OH

Other Businesses

Kenneth Basel is currently employed as a Personal Financial Counselor by the Department of Defense/Office of the Secretary of Defense. This activity accounts for approximately 50% of his time.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-09-05

S66 Uniform Combined State Law Examination

2015-09-05

Designations

Certified Financial Planner

Other Names

Kenneth Basel
Kenneth Lee Basel
Kenneth Lee Basel
Kenneth Lee Basel

View on SEC IAPD