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KN

Kurt R. Nunez

ALLOCATIONS SECURITIES
Santa Rosa, CA 95403
Some features on this profile are disabled
CRD#: 4327653
KN

Professional summary

Kurt R Nunez is a registered financial professional currently at ALLOCATIONS SECURITIES located in Santa Rosa, California.

Kurt is registered as a RR (Registered Representative) and started their career in finance in 2001. Kurt has worked at 10 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 24, Series 14, Series 4, Series 53, Series 23, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kurt R Nunez'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

December 21, 2022 - Present

ALLOCATIONS SECURITIES

Office #1: 3558 Round Barn Boulevard Suite 200 Office 206, Santa Rosa, CA 95403
BD
CRD#: 317750
Santa Rosa, CA
Past

March 11, 2020 - June 18, 2021

OLYMPUS WEALTH MANAGEMENT, LLC

RIA
CRD#: 173715
Santa Rosa, CA
Past

July 18, 2019 - June 14, 2021

KCM INVESTMENT ADVISORS

RIA
CRD#: 109629
SAN RAFAEL, CA
Past

October 10, 2014 - June 21, 2021

INVESTMENT VISA CONSULTANTS, LLC

BD
CRD#: 169254
LAKE OSWEGO, OR
Past

June 21, 2006 - November 29, 2013

DUNHAM

BD
CRD#: 13162
SAN DIEGO, CA
Past

June 13, 2006 - November 29, 2013

DUNHAM

RIA
CRD#: 13162
SAN DIEGO, CA
Past

June 14, 2004 - June 14, 2006

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
SAN DIEGO, CA
Past

June 14, 2004 - June 14, 2006

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

May 19, 2003 - May 3, 2004

CITICORP INVESTMENT SERVICES

RIA
CRD#: 23988
ESCONDIDO, CA
Past

May 19, 2003 - May 3, 2004

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

December 2, 2002 - April 9, 2003

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
LOS ANGELES, CA
Past

March 13, 2001 - November 6, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
ESCONDIDO, CA
Past

February 13, 2001 - November 6, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(12/22/2022)
RR
Delaware
(1/13/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/26/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/5/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/10/2007
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 10/20/2006
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 23
Date: 7/24/2006
General Securities Principal Sales Supervisor
Principal/Supervisory Exam
RR
Series 10
Date: 6/29/2005
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 2/15/2005
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ALLOCATIONS SECURITIES
ALLOCATIONS SECURITIES | ALLOCATIONSX | ALLOCATIONS SECURITIES, LLC

CRD#: 317750 / SEC#: , 8-70850

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
3558 Round Barn Boulevard Suite 200 Office 206, Santa Rosa, CA 95403
Mailing Address
3558 Round Barn Boulevard Suite 200 Office 206, Santa Rosa, CA 95403
Phone number
(707) 236-6533
Established
Delaware since 10/22/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ALLOCATIONS, INCMEMBER
NUNEZ, KURT RPRESIDENT/CHIEF COMPLIANCE OFFICER4327653
RICHARDS, JAMES ROSSFINANCIAL OPERATIONS PRINCIPAL2680389

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

ALLOCATIONS SECURITIES

CRD#: 317750Santa Rosa, CA 95403

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