KM
Kristin W. Montet
CARTER, TERRY & COMPANY
Auburn, AL
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CRD#: 1084500
KM
Professional summary
Kristin Walsh Montet, who also goes by Kathy Susan Walsh Murphy, Kristin Walsh Murphy, Kristin Kathy Susan Walsh, is a registered financial advisor currently at CARTER, TERRY & COMPANY, INC. located in Auburn, Alabama.
Kristin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Kristin has worked at 6 firms and has passed the Series 63, Series 52TO, Series 79TO, Series 99TO, SIE, Series 3, Series 7, Series 53, Series 24, Series 27 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kathy Susan Walsh Murphy | Kristin Walsh Murphy | Kristin Kathy Susan Walsh
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.
CARTER TERRY & CO. INC/CFO; MONTET CONSULTANTS INC. PRES/OWNER;
CRS (Client Relationship Summary) - RIA
Click below to view Kristin Walsh Montet's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kristin Walsh Montet's 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®
NoneExperience
Current
April 28, 2017 - Present
CARTER, TERRY & COMPANY, INC.
Office #2: 3060 Peachtree Road Suite 1200, Atlanta, GA 30305RIA
BD
CRD#: 16365
Auburn, AL
Current
May 13, 1988 - Present
CARTER, TERRY & COMPANY, INC.
Office #1: 3060 Peachtree Road Suite 1200, Atlanta, GA 30305RIA
BD
CRD#: 16365
ATLANTA, GA
Past
March 19, 2003 - August 10, 2010
PACES BATTLE GROUP, INC.
BD
CRD#: 118079
ATLANTA, GA
Past
April 29, 2002 - October 23, 2002
PACES BATTLE GROUP, INC.
BD
CRD#: 118079
ALPHARETTA, GA
Past
April 21, 1997 - August 6, 2003
FIG PARTNERS, LLC
BD
CRD#: 41554
ATLANTA, GA
Past
April 11, 1985 - May 2, 1988
JOHNSON, LANE, SPACE, SMITH & CO., INC.
BD
CRD#: 472
Past
August 24, 1983 - January 31, 1985
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
January 19, 1983 - March 23, 1983
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
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".
CT
CARTER, TERRY & COMPANY, INC.
ATTKISSON AND ASSOCIATES, INCORPORATED | WICKHAM FINANCIAL & INSURANCE SERVICES | FJB SECURITIES, INC. | CARTER, TERRY & COMPANY, INC. | ATTKISSON, CARTER AND ASSOCIATES, INCORPORATED | ATTKISSON, CARTER & COMPANY, INC. | ATTKISSON, CARTER & AKERS, INCORPORATED | ATTKISSON CARTER & COMPANY, INC.
CRD#: 16365 / SEC#: 801-113129, 8-33797
RIA
Registered Investment Advisory firm - SEC (4/30/2018 Approved)Florida
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Georgia
Registered Investment Advisory firm - SEC (7/26/2018 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/30/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/18/2023)
RR
California(9/15/2016)
RR
Georgia(5/20/1988)
IAR
Georgia(4/28/2017)
RR
Wisconsin(10/4/2001)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CT
CARTER, TERRY & COMPANY, INC.
ATTKISSON AND ASSOCIATES, INCORPORATED | WICKHAM FINANCIAL & INSURANCE SERVICES | FJB SECURITIES, INC. | CARTER, TERRY & COMPANY, INC. | ATTKISSON, CARTER AND ASSOCIATES, INCORPORATED | ATTKISSON, CARTER & COMPANY, INC. | ATTKISSON, CARTER & AKERS, INCORPORATED | ATTKISSON CARTER & COMPANY, INC.
CRD#: 16365 / SEC#: 801-113129, 8-33797
RIA
Registered Investment Advisory firm - SEC (4/30/2018 Approved)Florida
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Georgia
Registered Investment Advisory firm - SEC (7/26/2018 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/30/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
3060 Peachtree Road Suite 1200 Suite 1200, Atlanta, GA 30305
Mailing Address
3060 Peachtree Road Suite 1200, Atlanta, GA 30305
Phone number
(404) 364-2070
Established
Georgia since 03/12/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
37
SEC notice filing (12 States and Territories)
FINRA licenses (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 185 |
| AUM (Assets Under Management) | $ 111,326,459 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
