Kurt James Caramanidis
Professional Summary
Kurt James Caramanidis is a registered financial advisor currently at CARL M. HENNIG, INC. located in Oshkosh, Wisconsin. Kurt is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Kurt has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
CARL M. HENNIG, INC.
Contact Information
Main Address
206 North Main Street, Oshkosh, WI 54901-4815Mailing Address
206 North Main Street, Oshkosh, WI 54901Phone Number
+1 (920) 231-6630Established
Wisconsin since 01/02/1969Firm Type
CorporationFiscal Year End
SeptemberFirm Size
Small# of Employees
1FINRA licenses (15 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
30AUM (Assets Under Management)
$27,600,000Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(1/9/2009)
(6/24/2022)
(2/8/2010)
(5/26/2009)
(8/24/2009)
(4/17/2013)
(1/9/2009)
(1/5/2023)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 2000About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Oct 2006About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Kurt James Caramanidis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kurt James Caramanidis's CRS (Customer Relationship Summary).
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