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KT

Kevin P. Tanner

SARATOGA RESEARCH & INVESTMENT MANAGEMENT
SARATOGA, CA 95070
Some features on this profile are disabled
CRD#: 1397749
KT

Professional summary

Kevin Peter Tanner is a registered financial advisor currently at SARATOGA RESEARCH & INVESTMENT MANAGEMENT located in Saratoga, California.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Kevin has worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 4 and Series 24 exams.

top-8-questions

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 Kevin Peter Tanner'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

August 29, 1995 - Present

SARATOGA RESEARCH & INVESTMENT MANAGEMENT

Office #1: 14471 Big Basin Way, Suite E, Saratoga, CA 95070
RIA
CRD#: 110506
SARATOGA, CA
Past

July 10, 1998 - November 10, 1998

MUTUAL SECURITIES, INC.

BD
CRD#: 13092
CAMARILLO, CA
Past

May 18, 1995 - August 28, 1996

IFG NETWORK SECURITIES, INC.

BD
CRD#: 19948
ATLANTA, GA
Past

July 31, 1993 - May 18, 1995

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

November 4, 1991 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

August 21, 1985 - November 8, 1991

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

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".
SR
SARATOGA RESEARCH & INVESTMENT MANAGEMENT
SARATOGA RESEARCH & INVESTMENT MANAGEMENT | TANNER & ASSOCIATES ASSET MANAGEMENT

CRD#: 110506 / SEC#: 801-57695

RIA
Registered Investment Advisory firm - (7/3/2000 Approved)

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
California
(8/29/1995)
IAR
Texas
(7/19/2010)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/13/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/4/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 11/6/1986
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/17/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/12/1995
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/22/1995
General Securities Principal Examination

Current Firm

SR
SARATOGA RESEARCH & INVESTMENT MANAGEMENT
SARATOGA RESEARCH & INVESTMENT MANAGEMENT | TANNER & ASSOCIATES ASSET MANAGEMENT

CRD#: 110506 / SEC#: 801-57695

RIA
Registered Investment Advisory firm - (7/3/2000 Approved)
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Contact information

Main Address
14471 Big Basin Way, Suite E, Saratoga, CA 95070
Mailing Address
P.o. Box 3552, Saratoga, CA 95070
Phone number
(408) 741-2330
Established
Firm type
Fiscal year end
# of Employees
22

SEC notice filing (38 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SARATOGARIM DISCLOSURE BROCHURE PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts3,016
AUM (Assets Under Management)$ 2,511,054,488

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.

Company Information

SARATOGA RESEARCH & INVESTMENT MANAGEMENT

CRD#: 110506Saratoga, CA 95070

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