Karr Mccurdy

ROCK ELM CAPITAL MANAGEMENT LLC

Darien, CT 06820

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CRD#: 4839323

Professional summary

Karr Mccurdy, who also goes by Karr P Mccurdy, is a registered financial advisor currently at ROCK ELM CAPITAL MANAGEMENT LLC located in Darien, Connecticut.

Karr is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Karr has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Karr P Mccurdy

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.

Name & Address of Business Behre Dolbear Group Inc. 4255 S. Buckley Road, #425 Aurora, CO 80013 Investment Related? - No Nature of Business - Technical advisory services to the mining industry. Position, Title, Relationship - Principal, 14% owner, private company. Hours per Month - 0 hours - No current duties. Start Date - 06/01/2009 Name & Address of Business Bacchus Capital Advisors Ltd 6 Adam St London, WC2N 6AD, U.K. 44 20 3848 1640 Investment Related? - Yes Nature of Business - Strategic advisory services to the minerals industries. Position, Title, Relationship - Member of the Advisory Board Hours per Month - 10 hours/month No set duties, general collaborative communication via email and phone. Start Date - 02/01/2017 Name & Address of Business Pivot Industries Ltd 6424 Willow Broom Trail Littleton, CO 80125 Investment Related? - No Nature of Business - Technology firm, SaaS platform for collaborative data and communications management. Position, Title, Relationship - Member of the Advisory Board. Hours per Month - 5 hours/month. No set duties, general collaborative communication via email and phone. Start Date - 01/01/2018

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karr Mccurdy'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

August 29, 2017 - Present

ROCK ELM CAPITAL MANAGEMENT LLC

Office #1: 30 Old Kings Highway South, Darien, CT 06820

RIA

CRD#: 287783

Darien, CT

Past

December 10, 2004 - April 19, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(8/29/2017)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/29/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/30/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/9/2004

General Securities Representative Examination

Current Firm

ROCK ELM CAPITAL MANAGEMENT LLC

CRD#: 287783 / SEC#:

Connecticut

Registered Investment Advisory firm - (7/20/2017 Approved)

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Contact information

Main Address

30 Old Kings Highway South, Darien, CT 06820

Mailing Address

Phone number

+1 (203) 202-1639

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Karr Mccurdy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karr Mccurdy's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROCK ELM CAPITAL MANAGEMENT LLC

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/29/2017

Series 63

Date: 12/30/2004

Series 7

Date: 12/9/2004

Current Firm

ROCK ELM CAPITAL MANAGEMENT LLC

Contact information

Documents

Red Flags

Company Information

ROCK ELM CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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