Darrell J. Kay

KAY INVESTMENTS

Manakin-sabot, VA

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CRD#: 1510446

Professional summary

Darrell Joseph Kay is a registered financial advisor currently at KAY INVESTMENTS, INC. located in Manakin-sabot, Virginia.

Darrell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Darrell has worked at 5 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Darrell Joseph Kay'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®

None

Experience

Current

June 20, 2005 - Present

KAY INVESTMENTS, INC.

RIA

CRD#: 124267

Manakin-sabot, VA

Past

February 18, 2000 - March 24, 2000

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

January 13, 1992 - February 29, 2000

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

April 22, 1988 - January 22, 1992

ESSEX CAPITAL MARKETS, INC.

CRD#: 11896

ROCHESTER, NY

Past

June 25, 1986 - April 16, 1988

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

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
(7/6/2015)

IAR

New York
(8/13/2021)

IAR

Texas
(11/22/2016)

IAR

Virginia
(11/29/2021)

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: 6/23/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/1/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/21/1986

General Securities Representative Examination

Current Firm

KAY INVESTMENTS, INC.

KAY INCOME MANAGEMENT, INC. ("RELYING ADVISER") | KAY INVESTMENTS, INC.

CRD#: 124267 / SEC#: 801-66268

RIA

Registered Investment Advisory firm - (12/3/2015 Terminated)

California

Registered Investment Advisory firm - (6/30/2015 Approved)

New Mexico

Registered Investment Advisory firm - (4/21/2022 Terminated)

New York

Registered Investment Advisory firm - (2/12/2015 Approved)

Texas

Registered Investment Advisory firm - (11/21/2016 Conditional Restricted)

Virginia

Registered Investment Advisory firm - (11/29/2021 Approved)

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).

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Contact information

Main Address

Manakin-sabot, VA

Mailing Address

Phone number

(804) 708-9461

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	185
AUM (Assets Under Management)	$ 63,753,146

Red Flags

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

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Darrell J. Kay

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Darrell Joseph Kay's CRS (Customer Relationship Summary).

Certified licenses

Experience

KAY INVESTMENTS, INC.

SII INVESTMENTS, INC.

NATHAN & LEWIS SECURITIES, INC.

ESSEX CAPITAL MARKETS, INC.

WS GRIFFITH SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/23/2005

Series 63

Date: 7/1/1986

Series 7

Date: 6/21/1986

Current Firm

KAY INVESTMENTS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

KAY INVESTMENTS, INC.

TRUST BUT VERIFY

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