Kurt J. Caramanidis

CARL M. HENNIG

Oshkosh, WI 54901

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CRD#: 4318374

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.

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.

MAY EARN COMMISSIONS FROM INSURANCE COMPANIES NOT AFFILIATED WITH CARL M. HENNIG, INC. FOR SALES OF NON-VARIABLE LIFE, HEALTH, ANNUITY AND/OR DISABILITY INCOME INSURANCE PRODUCTS.

Blog Corner

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).

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

January 5, 2023 - Present

CARL M. HENNIG, INC.

Office #1: 206 N Main Street, Oshkosh, WI 54901

RIA

CRD#: 140

Oshkosh, WI

Current

January 9, 2009 - Present

CARL M. HENNIG, INC.

Office #1: 206 N Main Street, Oshkosh, WI 54901

RIA

CRD#: 140

Oshkosh, WI

Past

January 1, 2001 - January 1, 2002

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

January 1, 2001 - January 12, 2009

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

BEAVER DAM, WI

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
(1/9/2009)

Florida
(6/24/2022)

Kentucky
(2/8/2010)

Michigan
(5/26/2009)

Texas
(8/24/2009)

Washington
(4/17/2013)

Wisconsin
(1/9/2009)

IAR

Wisconsin
(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

State Security Law Exam

IAR

Series 65

Date: 11/15/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/28/2000

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: 1/7/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/22/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/17/2006

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

CARL M. HENNIG, INC.

CRD#: 140 / SEC#: , 8-14509

Illinois

Registered Investment Advisory firm - SEC (10/7/2013 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (4/4/2013 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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

206 North Main Street, Oshkosh, WI 54901-4815

Mailing Address

206 North Main Street, Oshkosh, WI 54901

Phone number

+1 (920) 231-6630

Established

Wisconsin since 01/02/1969

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (15 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
HARENBURG, THOMAS ALAN	DIRECTOR	237016
HARENBURG, SCOT ALAN	PRESIDENT/CHIEF COMPLIANCE OFFICER	2330907
CARAMANIDIS, KURT JAMES	VICE PRESIDENT	4318374

Regulatory assets under management

Total Number of Accounts	24
AUM (Assets Under Management)	$ 24,700,000

Disclosures

Regulatory Event

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. Caramanidis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

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).

Certified licenses

Experience

CARL M. HENNIG, INC.

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/15/2022

Series 63

Date: 12/28/2000

SIE

Date: 10/1/2018

Series 7

Date: 1/7/2004

Series 6

Date: 12/22/2000

Series 26

Date: 10/17/2006

FINRA

Current Firm

CARL M. HENNIG, INC.

Contact information

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CARL M. HENNIG, INC.

TRUST BUT VERIFY

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