Gary B. Kaltbaum

KALTBAUM CAPITAL MANAGEMENT

Sanford, FL

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CRD#: 1082074

Professional summary

Gary Brian Kaltbaum is a registered financial advisor currently at KALTBAUM CAPITAL MANAGEMENT located in Sanford, Florida.

Gary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Gary has worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gary Brian Kaltbaum's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 1, 2010 - Present

KALTBAUM CAPITAL MANAGEMENT

RIA

CRD#: 123991

Sanford, FL

Past

March 1, 2007 - December 31, 2010

B. RILEY WEALTH MANAGEMENT

RIA

CRD#: 2543

ORLANDO, FL

Past

March 1, 2007 - December 31, 2010

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

ORLANDO, FL

Past

August 30, 2005 - March 1, 2007

CAPITAL SECURITIES OF AMERICA, INC.

RIA

CRD#: 36405

ORLANDO, FL

Past

April 2, 2004 - March 1, 2007

CAPITAL SECURITIES OF AMERICA, INC.

CRD#: 36405

ORLANDO, FL

Past

May 2, 2003 - August 18, 2003

KALTBAUM CAPITAL MANAGEMENT

RIA

CRD#: 123991

ORLANDO, FL

Past

January 2, 2001 - April 12, 2004

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

ORLANDO, FL

Past

January 2, 2001 - April 12, 2004

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

July 6, 1999 - January 2, 2001

JWGENESIS FINANCIAL GROUP, INC

CRD#: 38166

BOCA RATON, FL

Past

October 14, 1994 - September 15, 1999

JWGENESIS SECURITIES, INC.

CRD#: 33832

BOCA RATON, FL

Past

January 2, 1991 - October 31, 1994

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

April 7, 1989 - June 7, 1989

J. W. GANT & ASSOCIATES, INC.

CRD#: 7963

Past

October 4, 1988 - January 28, 1989

B C FINANCIAL CORPORATION

CRD#: 13460

Past

December 21, 1982 - October 31, 1988

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KALTBAUM CAPITAL MANAGEMENT

INVESTORS EDGE, LLC | KALTBAUM CAPITAL MANAGEMENT, LLC | KALTBAUM CAPITAL MANAGEMENT | KALTBAUM AND ASSOCIATES

CRD#: 123991 / SEC#: 801-132465

RIA

Registered Investment Advisory firm - (4/18/2025 Approved)

Arizona

Registered Investment Advisory firm - (5/7/2025 Terminated)

Florida

Registered Investment Advisory firm - (5/7/2025 Terminated)

Texas

Registered Investment Advisory firm - (5/7/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(7/28/2017)

IAR

Florida
(4/8/2026)

IAR

Pennsylvania
(2/27/2026)

IAR

Texas
(4/20/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/13/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/6/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/18/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/12/1984

General Securities Principal Examination

Current Firm

KALTBAUM CAPITAL MANAGEMENT

INVESTORS EDGE, LLC | KALTBAUM CAPITAL MANAGEMENT, LLC | KALTBAUM CAPITAL MANAGEMENT | KALTBAUM AND ASSOCIATES

CRD#: 123991 / SEC#: 801-132465

RIA

Registered Investment Advisory firm - (4/18/2025 Approved)

Arizona

Registered Investment Advisory firm - (5/7/2025 Terminated)

Florida

Registered Investment Advisory firm - (5/7/2025 Terminated)

Texas

Registered Investment Advisory firm - (5/7/2025 Terminated)

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Contact information

Main Address

Sanford, FL

Mailing Address

Phone number

(407) 514-3180

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KALTBAUM CAPITAL MANAGEMENT PART 2B MARCH 2024 (3/19/2025)

KALTBAUM CAPITAL MANAGEMENT PART 2A (3/19/2025)

Regulatory assets under management

Total Number of Accounts	264
AUM (Assets Under Management)	$ 117,979,814

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Gary B. Kaltbaum

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gary Brian Kaltbaum's CRS (Customer Relationship Summary).

Certified licenses

Experience

KALTBAUM CAPITAL MANAGEMENT

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH MANAGEMENT

CAPITAL SECURITIES OF AMERICA, INC.

CAPITAL SECURITIES OF AMERICA, INC.

KALTBAUM CAPITAL MANAGEMENT

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

JWGENESIS FINANCIAL GROUP, INC

JWGENESIS SECURITIES, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

J. W. GANT & ASSOCIATES, INC.

B C FINANCIAL CORPORATION

BLINDER, ROBINSON & CO., INC.

Primary Firm SEC Registration

KALTBAUM CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 3/13/1996

Series 63

Date: 2/6/1984

Series 7

Date: 12/18/1982

Series 24

Date: 4/12/1984

Current Firm

KALTBAUM CAPITAL MANAGEMENT

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KALTBAUM CAPITAL MANAGEMENT

TRUST BUT VERIFY

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