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KM

Kevin J. Manthie

LAKE STREET CAPITAL MARKETS
MINNEAPOLIS, MN 55402
Some features on this profile are disabled
CRD#: 4860576
KM

Professional summary

Kevin Julian Manthie is a registered financial professional currently at LAKE STREET CAPITAL MARKETS, LLC located in Minneapolis, Minnesota.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 2006. Kevin has worked at 3 firms and has passed the Series 63, SIE and Series 7 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 Kevin Julian Manthie'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

February 23, 2016 - Present

LAKE STREET CAPITAL MARKETS, LLC

Office #1: 121 South 8th Street Suite 1000, Minneapolis, MN 55402
BD
CRD#: 164447
MINNEAPOLIS, MN
Past

May 12, 2014 - February 8, 2016

NORTHLAND SECURITIES, INC.

BD
CRD#: 40258
MINNEAPOLIS, MN
Past

February 3, 2006 - February 21, 2014

CRAIG-HALLUM CAPITAL GROUP LLC

BD
CRD#: 121395
MINNEAPOLIS, MN

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
Minnesota
(2/23/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 10/15/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/2/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

LS
LAKE STREET CAPITAL MARKETS, LLC
LAKE STREET CAPITAL MARKETS, LLC

CRD#: 164447 / SEC#: , 8-69101

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
121 South 8th Street Suite 1000, Minneapolis, MN 55402
Mailing Address
121 South 8th Street Suite 1000, Minneapolis, MN 55402
Phone number
(612) 326-1305
Established
Minnesota since 05/07/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (30 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#
LAKE STREET HOLDINGS, LLCDIRECT OWNER
ARGENTO, MARK NICHOLASPRESIDENT/DIR2732498
BROWN, ROBERT DUNCANDIR4297681
CULLUM, THOMAS CHARLES JREXECUTIVE CHAIRMAN/DIR1694901
MARTINUZZI, ERICCOO/DIR4142535
MCNAMEE, PAUL ANDREWCCO/FINOP/CFO6788820
TOWNLEY, MICHAEL PRESTONCEO/DIR3112485

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

LAKE STREET CAPITAL MARKETS, LLC

CRD#: 164447Minneapolis, MN 55402

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