Kevin C. Runde

RUNDE & CO. LLC

SEATTLE, WA 98154

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CRD#: 1363779

Professional summary

Kevin Casey Runde is a registered financial advisor currently at RUNDE & CO. LLC located in Seattle, Washington.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Kevin has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 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.

IN ADDITION TO RUNDE & CO. INCORPORATEDWE OWN AND OPERATE R B HOOPER & CO INCORPORATED. THIS IS ALSO AND INVESTMENT MANAGEMENT COMPANY AND I AM ALSO THE VICE PRESIDENT. THE BUSINISSES ARE RUN CONCURRENTLY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Casey Runde'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

March 9, 1993 - Present

RUNDE & CO. LLC

Office #1: 1001 4th Avenue Suite3200, Seattle, WA 98154

RIA

CRD#: 106383

SEATTLE, WA

Past

February 16, 1996 - June 30, 2005

HOOPER R B & CO INC

RIA

CRD#: 105536

SEATTLE, WA

Past

April 19, 1989 - December 3, 1990

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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".

RUNDE & CO. LLC

RUNDE $ CO INCORPORATED | RUNDE INVESTMENT MANAGEMENT | RUNDE & CO. LLC

CRD#: 106383 / SEC#: 801-78804

RIA

Registered Investment Advisory firm - (11/20/2013 Approved)

Washington

Registered Investment Advisory firm - (12/5/2013 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

Washington
(3/9/1993)

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: 6/25/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/8/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/15/1989

General Securities Representative Examination

Current Firm

RUNDE & CO. LLC

RUNDE $ CO INCORPORATED | RUNDE INVESTMENT MANAGEMENT | RUNDE & CO. LLC

CRD#: 106383 / SEC#: 801-78804

RIA

Registered Investment Advisory firm - (11/20/2013 Approved)

Washington

Registered Investment Advisory firm - (12/5/2013 Terminated)

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Contact information

Main Address

1420 5th Avenue Suite 2200, Seattle, WA 98101

Mailing Address

Phone number

(206) 323-2255

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RUNDE & CO. LLC PART 2A (3/31/2025)

RUNDE & CO. LLC PART 2B (3/31/2025)

Regulatory assets under management

Total Number of Accounts	139
AUM (Assets Under Management)	$ 185,775,000

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.

Contact information

xxxxx@xxxx.xxx

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Kevin C. Runde

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Casey Runde's CRS (Customer Relationship Summary).

Certified licenses

Experience

RUNDE & CO. LLC

HOOPER R B & CO INC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

RUNDE & CO. LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/25/1993

Series 63

Date: 8/8/1990

Series 7

Date: 4/15/1989

Current Firm

RUNDE & CO. LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RUNDE & CO. LLC

TRUST BUT VERIFY

Contact information

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