KM
Kevin R. Mcintosh
CITY NATIONAL ROCHDALE
Elizabeth, CO
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CRD#: 4253079
KM
Professional summary
Kevin Richard Mcintosh, CPWA® is a registered financial advisor currently at CITY NATIONAL ROCHDALE located in Elizabeth, Colorado and CNR SECURITIES, LLC located in New York, New York.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Kevin has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
BUSNESS NAME: KEVIN AND WANDA MICINTOSH; INVESTMENT RELATED: YES; ADDRESS: 5010 TIMBER RIDGE DRIVE, ELIZABETH, CO 80107; NATURE: INVESTMENT PROPERTY; POSITION/TITLE/RELATIONSHIP: LANDLORD; START DATE: NOV 1, 2017; HOURS/MONTH: 1; HRS DURING TRADING HOURS: 0; DUTIES: COLLECT RENT NAME: WeiMac, LLC; ADDRESS: 11385 Fox View Place, Franktown, CO 80116; Non-Investment related; Our LLC is buying a Hotworx franchise. This is a fitness business, membership based. ; Limited Partner; Start Date: 03/30/22; 4 hours per month; 0 hours during securities trading hours; I will provide input on various decisions made in running the business. I do not have day to day responsibilities.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Richard Mcintosh'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®
CPWA®
Start date: 2021-09-30
Expire date: 2023-08-31
Experience
Current
January 12, 2016 - Present
CITY NATIONAL ROCHDALE
RIA
CRD#: 117198
Elizabeth, CO
Current
January 12, 2016 - Present
CNR SECURITIES, LLC
Office #1: 400 Park Avenue 6th Floor, New York, NY 10022BD
CRD#: 18466
NEW YORK, NY
Past
January 25, 2011 - January 6, 2016
CURIAN CAPITAL, LLC
RIA
CRD#: 120270
DENVER, CO
Past
January 24, 2011 - January 6, 2016
CURIAN CLEARING, LLC
BD
CRD#: 132938
DENVER, CO
Past
June 23, 2009 - November 15, 2010
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
LAKEWOOD, WA
Past
June 23, 2009 - November 15, 2010
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
LAKEWOOD, WA
Past
November 19, 2007 - April 20, 2009
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
BD
CRD#: 21771
TACOMA, WA
Past
November 12, 2007 - April 20, 2009
RUSSELL INVESTMENTS
RIA
CRD#: 105734
TACOMA, WA
Past
January 1, 2006 - November 2, 2007
GREENE WEALTH MANAGEMENT, LLC
RIA
CRD#: 137810
SEATTLE, WA
Past
January 1, 2002 - November 29, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Past
April 24, 2001 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
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".
CN
CITY NATIONAL ROCHDALE
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC
CRD#: 117198 / SEC#: 801-27265
RIA
Registered Investment Advisory firm - (6/20/1986 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.RR
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
RR
Alabama(1/12/2016)
RR
Alaska(1/12/2016)
RR
Arizona(1/12/2016)
RR
Arkansas(1/12/2016)
RR
California(1/12/2016)
RR
Colorado(1/12/2016)
IAR
Colorado(1/12/2016)
RR
Connecticut(1/12/2016)
RR
Delaware(1/12/2016)
RR
District of Columbia(1/12/2016)
RR
Florida(1/12/2016)
RR
Georgia(1/12/2016)
RR
Hawaii(1/12/2016)
RR
Idaho(1/12/2016)
RR
Illinois(1/12/2016)
RR
Indiana(1/12/2016)
RR
Iowa(1/12/2016)
RR
Kansas(1/12/2016)
RR
Kentucky(1/12/2016)
RR
Louisiana(1/12/2016)
RR
Maine(1/12/2016)
RR
Maryland(1/12/2016)
RR
Massachusetts(1/12/2016)
RR
Michigan(1/12/2016)
RR
Minnesota(1/12/2016)
RR
Mississippi(1/12/2016)
RR
Missouri(1/12/2016)
RR
Montana(1/12/2016)
RR
Nebraska(1/12/2016)
RR
Nevada(1/12/2016)
RR
New Hampshire(1/12/2016)
RR
New Jersey(1/12/2016)
RR
New Mexico(1/12/2016)
RR
New York(1/12/2016)
RR
North Carolina(1/12/2016)
RR
North Dakota(1/12/2016)
RR
Ohio(1/12/2016)
RR
Oklahoma(1/12/2016)
RR
Oregon(1/12/2016)
RR
Pennsylvania(1/12/2016)
RR
Rhode Island(1/12/2016)
RR
South Carolina(1/12/2016)
RR
South Dakota(1/12/2016)
RR
Tennessee(1/12/2016)
RR
Texas(1/12/2016)
RR
Utah(1/12/2016)
RR
Vermont(1/12/2016)
RR
Virginia(1/12/2016)
RR
Washington(1/12/2016)
RR
West Virginia(1/12/2016)
RR
Wisconsin(1/12/2016)
RR
Wyoming(1/12/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CN
CITY NATIONAL ROCHDALE
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC
CRD#: 117198 / SEC#: 801-27265
RIA
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Contact information
Main Address
400 Park Avenue 10th Floor, New York, NY 10022
Mailing Address
Phone number
(212) 702-3500
Established
Firm type
Fiscal year end
# of Employees
235
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
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.
