Alyson R. Kest

SPEARHEAD ADMINISTRATIVE SERVICES

LITTLE SILVER, NJ

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CRD#: 3093693

Professional summary

Alyson Renee Kest is a registered financial advisor currently at SPEARHEAD ADMINISTRATIVE SERVICES, LLC located in Little Silver, New Jersey and THE LEADERS GROUP, INC. located in Summit, New Jersey.

Alyson is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Alyson has worked at 6 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 14 and Series 24 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.) SPEARHEAD ADMINISTRATIVE SERVICES, LLC - 2/15/22 - 3828 Kennett Pike, Suite 202, Greenville, DE 19807 - General counsel & CCO, Administration of legal/compliance program, Not Invt Rel, Insurance business, 40 hrs/mo; 40 hrs/mo (during trading hours). 2.) THE LEADERS GROUP, INC. - 5/2023 - 475 Springfield Ave., Summit NJ 07901- Registered Representative - Broker Dealer - Invt Rel, 0 Hours/Month - Holding Active FINRA license

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alyson Renee Kest'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

April 27, 2022 - Present

SPEARHEAD ADMINISTRATIVE SERVICES, LLC

RIA

CRD#: 319289

LITTLE SILVER, NJ

Current

May 19, 2023 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901

CRD#: 37157

SUMMIT, NJ

Past

November 9, 2020 - December 31, 2022

SPEARHEAD CAPITAL ADVISORS, LLC

RIA

CRD#: 161131

Little Silver, NJ

Past

November 5, 2020 - November 1, 2022

SPEARHEAD CAPITAL, LLC

CRD#: 145560

WELLINGTON, FL

Past

January 29, 2016 - October 7, 2020

MILLINGTON SECURITIES, INC.

CRD#: 147298

RED BANK, NJ

Past

October 20, 1998 - May 31, 2000

FAR HILLS GROUP, LLC.

CRD#: 32243

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".

SPEARHEAD ADMINISTRATIVE SERVICES, LLC

CRD#: 319289 / SEC#: 801-123610

RIA

Registered Investment Advisory firm - (4/1/2022 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.

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

Delaware
(5/19/2023)

Florida
(5/19/2023)

IAR

New Jersey
(4/27/2022)

New Jersey
(5/19/2023)

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 66

Date: 5/2/2016

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/29/2016

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 12/29/2017

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SPEARHEAD ADMINISTRATIVE SERVICES, LLC

CRD#: 319289 / SEC#: 801-123610

RIA

Registered Investment Advisory firm - (4/1/2022 Approved)

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Contact information

Main Address

3828 Kennett Pike Suite 202, Greenville, DE 19807

Mailing Address

Phone number

(855) 615-5318

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

SPEARHEAD ADMINISTRATIVE SERVICES, LLC BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	507
AUM (Assets Under Management)	$ 2,156,059,612

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/08/2023	Cover Page	Report
12/28/2022	Cover Page	Report

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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Alyson R. Kest

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alyson Renee Kest's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE LEADERS GROUP, INC.

SPEARHEAD CAPITAL ADVISORS, LLC

SPEARHEAD CAPITAL, LLC

MILLINGTON SECURITIES, INC.

FAR HILLS GROUP, LLC.

Primary Firm SEC Registration

SPEARHEAD ADMINISTRATIVE SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/2/2016

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/29/2016

Series 14

Date: 1/2/2023

Series 24

Date: 12/29/2017

FINRA

Current Firm

SPEARHEAD ADMINISTRATIVE SERVICES, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SPEARHEAD ADMINISTRATIVE SERVICES, LLC

TRUST BUT VERIFY

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