Dennis Michael Kinghorn
Investment Adviser Representative at Osaic Institutions, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Dennis Michael Kinghorn is an investment adviser representative with Osaic Institutions, Inc. in Ellsworth, ME, where they have been registered since 2010. They have worked in the securities industry since 1996 and have been registered with 3 firms, including LPL Financial Corporation and Uvest Financial Services Group, Inc. They have passed 4 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 6 (investment company and variable products). They are registered to provide investment advice in Maine.
Office
Advisors at this office: 4
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Maine
- Broker:
12 states and territories
California, Connecticut, Florida, Georgia, Maine, Massachusetts, New Hampshire, New Mexico, North Carolina, Ohio, Vermont, Virginia
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- LPL FinancialApr 2008 – no end date reportedEllsworth, ME
- BAR Harbor BANK & TrustJan 2010 – no end date reportedEllsworth, ME
- Infinex Investments, Inc.Jan 2010 – no end date reportedEllsworth, ME
Official records & sources
Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Osaic Institutions, Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Firm account minimum
- $5,500
- Estimated blended rate
- 0.025
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Advisory services (fee-based portfolios, investment team support, case design), equity and fixed income trading, life/long-term care/disability insurance, trust services, training, lead generation, marketing support, and recruiting.
Client types the firm serves
Firm assets under management
$5B–$25B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 550
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Meriden, CT
- SEC file number:
- 801-67242
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of August 18, 2026
View full firm profileOther advisors at Osaic Institutions, Inc.
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Dennis Michael Kinghorn has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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