Kevin P. Smith

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CRD#: 1363302

Professional summary

Kevin P Smith was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kevin is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Kevin had worked at 8 firms, which includes CONTEGO CAPITAL GROUP INC., MORGAN STANLEY, MORGAN STANLEY & CO. LLC, UBS FINANCIAL SERVICES INC., PIPER SANDLER & CO., PRUDENTIAL EQUITY GROUP LLC, AMERICAN EXPRESS FINANCIAL CORPORATION, AMERIPRISE FINANCIAL SERVICES LLC.

Question & Answer

Are you a "fiduciary"?

Aliases

Kevin Peter Smith

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 25, 2017 - October 8, 2018

CONTEGO CAPITAL GROUP, INC.

RIA

CRD#: 128518

Minneapolis, MN

Past

February 5, 2014 - November 2, 2016

MORGAN STANLEY

RIA

CRD#: 149777

MINNEAPOLIS, MN

Past

June 1, 2009 - November 2, 2016

MORGAN STANLEY

CRD#: 149777

MINNEAPOLIS, MN

Past

November 9, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

MINNEAPOLIS, MN

Past

August 12, 2006 - November 21, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

EDINA, MN

Past

January 5, 2001 - August 12, 2006

PIPER SANDLER & CO.

CRD#: 665

EDINA, MN

Past

January 3, 1994 - January 9, 2001

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

April 24, 1985 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

April 24, 1985 - January 7, 1994

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

CONTEGO CAPITAL GROUP, INC.

CRD#: 128518 / SEC#: 801-113844

RIA

Registered Investment Advisory firm - (8/17/2018 Approved)

Arizona

Registered Investment Advisory firm - (12/1/2015 Terminated)

Colorado

Registered Investment Advisory firm - (12/31/2015 Terminated)

Maryland

Registered Investment Advisory firm - (12/31/2015 Terminated)

Minnesota

Registered Investment Advisory firm - (8/29/2018 Terminated)

Montana

Registered Investment Advisory firm - (12/1/2015 Terminated)

North Dakota

Registered Investment Advisory firm - (8/28/2018 Terminated)

Texas

Registered Investment Advisory firm - (11/10/2004 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 5/3/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/26/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/2/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/27/2009

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/20/1985

General Securities Representative Examination

Current Firm

CONTEGO CAPITAL GROUP, INC.

CRD#: 128518 / SEC#: 801-113844

RIA

Registered Investment Advisory firm - (8/17/2018 Approved)

Arizona

Registered Investment Advisory firm - (12/1/2015 Terminated)

Colorado

Registered Investment Advisory firm - (12/31/2015 Terminated)

Maryland

Registered Investment Advisory firm - (12/31/2015 Terminated)

Minnesota

Registered Investment Advisory firm - (8/29/2018 Terminated)

Montana

Registered Investment Advisory firm - (12/1/2015 Terminated)

North Dakota

Registered Investment Advisory firm - (8/28/2018 Terminated)

Texas

Registered Investment Advisory firm - (11/10/2004 Terminated)

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Contact information

Main Address

5354 Parkdale Drive Suite 103, Minneapolis, MN 55416

Mailing Address

Phone number

(952) 697-2570

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A & 2B (3/28/2025)

Regulatory assets under management

Total Number of Accounts	121
AUM (Assets Under Management)	$ 73,270,000

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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Advisor Monitoring

Firm Stability Insights

Kevin P. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

UBS FINANCIAL SERVICES INC.

PIPER SANDLER & CO.

PRUDENTIAL EQUITY GROUP, LLC

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CONTEGO CAPITAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/3/1994

Series 63

Date: 4/26/1985

SIE

Date: 11/2/2016

Series 31

Date: 1/27/2009

Series 7

Date: 4/20/1985

Current Firm

CONTEGO CAPITAL GROUP, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONTEGO CAPITAL GROUP, INC.

TRUST BUT VERIFY

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