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RIA / WealthAdvisorCertified Financial Planner39 years in industry

KEVNE LEA SHARPE

Advisor at MARINER

Highlands Ranch, CO

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Search this name across graphsid dfx:ria:1e1dff49-1fe0-8afe-1d9b-1a2610bdd837

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Nov 13, 2012 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MARINER
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 4, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63
First exam: Aug 4, 1987
First registration: Nov 13, 2012
Dual registered: no
Other names: KEVNE LEA STOCK|KEVNE THOMPSON
IAPD individual key: 1545866

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
Mariner	Bd affiliated wealth	Aug 9, 2022	n/a	yes	Highlands Ranch, CO	Current employment
PRUCO SECURITIES, LLC	No RAUM reported	May 28, 2020	Aug 2, 2022	no	ENGLEWOOD, CO\|ENGLEWOOD, CO	Previous registration
FORTA FINANCIAL GROUP, INC.	Former SEC adviser	Sep 13, 2017	Jul 17, 2020	no	GREENWOOD VILLAGE, CO	Previous registration
TOEWS ASSET MANAGEMENT	Asset manager	Apr 25, 2014	Sep 21, 2017	no	LITTLETON, CO\|NORTHFIELD, NJ	Previous registration
A & I WEALTH MANAGEMENT	Independent wealth	Nov 13, 2012	May 14, 2013	no	ENGLEWOOD, CO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PRUCO SECURITIES, LLC	Mariner	Aug 2, 2022	Aug 9, 2022	7	Firm change	Ibd to ibd
FORTA FINANCIAL GROUP, INC.	PRUCO SECURITIES, LLC	Jul 17, 2020	May 28, 2020	-50	Firm change after gap	RIA to ibd
TOEWS ASSET MANAGEMENT	FORTA FINANCIAL GROUP, INC.	Sep 21, 2017	Sep 13, 2017	-8	Firm change	Other
A & I WEALTH MANAGEMENT	TOEWS ASSET MANAGEMENT	May 14, 2013	Apr 25, 2014	346	Firm change	Other

Relationships

Registered with (5)

→ MARINERRegistered adviserregistration: current employment
Aug 9, 2022 to presentfactForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
May 28, 2020 to Aug 2, 2022factForm ADV
→ FORTA FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Sep 13, 2017 to Jul 17, 2020factForm ADV
→ TOEWS ASSET MANAGEMENTRegistered adviserregistration: previous registration
Apr 25, 2014 to Sep 21, 2017factForm ADV
→ A & I WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Nov 13, 2012 to May 14, 2013factForm ADV

Dated events

Occurred
Aug 2, 2022
Advisor changed firm
Kevne Lea Sharpe left Pruco Securities, Llc for Mariner (registered 2022-08-09)
Form ADVobserved 6 days ago