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KM

Kevin R. Montoya

Some features on this profile are disabled
CRD#: 2267291
KM

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kevin Robert Montoya, who also goes by Kevin R Montoya, was a registered financial advisor .

Kevin is a previously registered financial advisor and started their career in finance in 1993. Kevin had worked at 5 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kevin R Montoya

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

November 25, 2008 - May 3, 2013

WHITEHALL-PARKER SECURITIES, INC.

BD
CRD#: 10608
SAN RAFAEL, CA
Past

November 24, 2008 - May 3, 2013

WHITEHALL-PARKER SECURITIES, INC.

RIA
CRD#: 10608
ALAMO, CA
Past

September 16, 2008 - December 4, 2008

STONE & YOUNGBERG LLC

BD
CRD#: 795
SAN FRANCISCO, CA
Past

August 14, 2008 - December 4, 2008

STONE & YOUNGBERG LLC

RIA
CRD#: 795
SAN FRANCISCO, CA
Past

May 14, 2007 - July 21, 2008

NOLLENBERGER CAPITAL PARTNERS INC.

RIA
CRD#: 119248
SAN FRANCISCO, CA
Past

May 14, 2007 - July 21, 2008

NOLLENBERGER CAPITAL PARTNERS INC.

BD
CRD#: 119248
SAN FRANCISCO, CA
Past

April 2, 2007 - April 26, 2007

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
SAN FRANCISCO, CA
Past

April 2, 2007 - April 26, 2007

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
SAN FRANCISCO, CA
Past

July 8, 1997 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
SAN FRANCISCO, CA
Past

April 23, 1993 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
SAN FRANCISCO, CA

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/3/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/30/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 5/10/1994
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/22/1993
General Securities Representative Examination

Current Firm

WS
WHITEHALL-PARKER SECURITIES, INC.
WHITEHALL-PARKER SECURITIES, INC | WHITEHALL-PARKER SECURITIES, INC.

CRD#: 10608 / SEC#: , 8-27688

BD
Terminated by SEC on 02/07/2023
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Contact information

Main Address
117 Paul Drive Suite B, San Rafael, CA 94903
Mailing Address
Phone number
(415) 421-5935
Established
California since 02/01/1982
Firm type
Corporation
Fiscal year end
August
Firm Size
Small
# of Employees
12

FINRA licenses (1 States and Territories)

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

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
GETTMAN, BRITTNY RENE100% SHAREHOLDER7644477
EVERHART, DONALD JOECCO/FINANCIAL PRINCIPAL/OPTIONS PRINCIPAL/MUNICIPAL PRINCIPAL2150508

Regulatory assets under management

Total Number of Accounts25
AUM (Assets Under Management)$ 20,000,000

Disclosures

Regulatory Event2
Civil Event1

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

WHITEHALL-PARKER SECURITIES, INC.

CRD#: 10608

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