Kurt J. Halverstadt

THE SULLIVAN GROUP

ROSEVILLE, CA 95661

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CRD#: 1829540

Professional summary

Kurt James Halverstadt is a registered financial advisor currently at THE SULLIVAN GROUP located in Roseville, California and PURSHE KAPLAN STERLING INVESTMENTS located in Roseville, California.

Kurt is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Kurt has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 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.

1) CAPITAL INVESTMENT MANAGEMENT, LLC; INVESTMENT RELATED; 564 N SUNRISE AVE ROSEVILLE, CA 95661; INVESTMENT MANAGEMENT; MANAGING DIRECTOR; 10/2009; 120 HOURS/MONTH; 80 HOURS/MONTH DURING SECURITIES HOURS; MANAGE INVESTMENTS FOR CLIENTS 2) Brightstar Insurance Partners Insurance Services. Not Investment Related. 1957 Tyndrum Lane, Folsom CA 95630. Insurance Sales. Rep. Start 02/2020. 25 hours per month during trading. Prospecting for potential clients with life insurance needs.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kurt James Halverstadt'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

September 2, 2009 - Present

THE SULLIVAN GROUP

Office #1: 564 North Sunrise Avenue, Roseville, CA 95661

RIA

CRD#: 150705

ROSEVILLE, CA

Current

September 17, 2009 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 564 N. Sunrise Avenue, Roseville, CA 95661

CRD#: 35747

Roseville, CA

Past

June 1, 2009 - September 14, 2009

MORGAN STANLEY

RIA

CRD#: 149777

ROSEVILLE, CA

Past

June 1, 2009 - September 14, 2009

MORGAN STANLEY

CRD#: 149777

ROSEVILLE, CA

Past

December 17, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

ROSEVILLE, CA

Past

December 17, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

ROSEVILLE, CA

Past

January 14, 2002 - December 19, 2007

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ROSEVILLE, CA

Past

December 14, 2001 - December 19, 2007

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ROSEVILLE, CA

Past

May 2, 2001 - December 13, 2001

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

October 29, 1999 - May 2, 2001

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

July 26, 1996 - November 5, 1999

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

July 31, 1993 - August 8, 1996

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 14, 1993 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

January 28, 1992 - May 18, 1993

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

June 3, 1988 - April 14, 1992

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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.

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

Arizona
(9/17/2009)

IAR

California
(9/2/2009)

California
(9/17/2009)

Nevada
(9/17/2009)

Oklahoma
(3/29/2010)

Texas
(9/17/2009)

Washington
(9/17/2009)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/16/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/1/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/12/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/2/1988

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 8/23/1989

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

THE SULLIVAN GROUP

CAPITAL INVESTMENT MANAGEMENT GROUP, INC. | THE SULLIVAN GROUP | CAPITAL INVESTMENT MANAGEMENT, LLC

CRD#: 150705 / SEC#: 801-70367

RIA

Registered Investment Advisory firm - (2/11/2015 Terminated)

California

Registered Investment Advisory firm - (4/16/2014 Approved)

Texas

Registered Investment Advisory firm - (4/3/2017 Conditional Restricted)

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

564 North Sunrise Avenue, Roseville, CA 95661

Mailing Address

Phone number

(916) 797-8500

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	102
AUM (Assets Under Management)	$ 86,405,053

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

Kurt J. Halverstadt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kurt James Halverstadt's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO SECURITIES INC.

WELLS FARGO CLEARING SERVICES, LLC

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

PRUDENTIAL EQUITY GROUP, LLC

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/16/2001

Series 63

Date: 4/1/1992

SIE

Date: 10/1/2018

Series 7

Date: 3/12/1992

Series 6

Date: 6/2/1988

Series 26

Date: 8/23/1989

FINRA

Current Firm

THE SULLIVAN GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THE SULLIVAN GROUP

TRUST BUT VERIFY

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