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KN

Kevin J. Nester

NBT CAPITAL MANAGEMENT
Peoria Heights, IL 61616
Some features on this profile are disabled
CRD#: 5294565
KN

Professional summary

Kevin J Nester, AIF® is a registered financial advisor currently at NBT CAPITAL MANAGEMENT, INC. located in Peoria Heights, Illinois.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Kevin has worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin J Nester'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®
AIF®

Accredited Investment Fiduciary

Experience

Current

February 28, 2024 - Present

NBT CAPITAL MANAGEMENT, INC.

Office #1: 4541 North Prospect Road, Suite 201, Peoria Heights, IL 61616
RIA
CRD#: 104932
Peoria Heights, IL
Past

April 9, 2020 - March 24, 2022

NBT CAPITAL MANAGEMENT, INC.

RIA
CRD#: 104932
Peoria, IL
Past

July 2, 2015 - December 31, 2017

ABG RETIREMENT PLAN INVESTMENT SERVICES

RIA
CRD#: 117678
PEORIA, IL
Past

July 2, 2015 - April 2, 2020

ABG RETIREMENT PLAN INVESTMENT SERVICES

RIA
CRD#: 117678
PEORIA, IL
Past

November 15, 2013 - October 15, 2014

LPL FINANCIAL LLC

RIA
CRD#: 6413
PEORIA, IL
Past

November 15, 2013 - October 15, 2014

LPL FINANCIAL LLC

BD
CRD#: 6413
PEORIA, IL
Past

March 19, 2013 - November 21, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
PEORIA, IL
Past

March 19, 2013 - November 21, 2013

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
PEORIA, IL
Past

October 1, 2012 - March 28, 2013

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
PEORIA, IL
Past

October 1, 2012 - March 28, 2013

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
PEORIA, IL
Past

April 6, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
PEORIA, IL
Past

April 6, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
PEORIA, IL
Past

April 24, 2007 - April 13, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
PEORIA, IL
Past

April 4, 2007 - April 13, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
PEORIA, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NC
NBT CAPITAL MANAGEMENT, INC.
BAY RIDGE ADVISOR GROUP, INC. | UPSTATE MANAGEMENT ASSOCIATES INC | NBT CAPITAL MANAGEMENT, INC. | NBT CAPITAL MANAGEMENT | NAVIGATE RETIREMENT SOLUTIONS | COLUMBIA RIDGE CAPITAL MANAGEMENT, INC. | COLUMBIA RIDGE CAPITAL MANAGEMENT | CLEVELAND HAUSWIRTH INVESTMENT MANAGEMENT | BAYRIDGE ADVISORS | BAY RIDGE GROUP

CRD#: 104932 / SEC#: 801-30786

RIA
Registered Investment Advisory firm - (11/23/1987 Approved)

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
Illinois
(2/28/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/17/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/15/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 5/1/2007
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/3/2007
General Securities Representative Examination

Current Firm

NC
NBT CAPITAL MANAGEMENT, INC.
BAY RIDGE ADVISOR GROUP, INC. | UPSTATE MANAGEMENT ASSOCIATES INC | NBT CAPITAL MANAGEMENT, INC. | NBT CAPITAL MANAGEMENT | NAVIGATE RETIREMENT SOLUTIONS | COLUMBIA RIDGE CAPITAL MANAGEMENT, INC. | COLUMBIA RIDGE CAPITAL MANAGEMENT | CLEVELAND HAUSWIRTH INVESTMENT MANAGEMENT | BAYRIDGE ADVISORS | BAY RIDGE GROUP

CRD#: 104932 / SEC#: 801-30786

RIA
Registered Investment Advisory firm - (11/23/1987 Approved)
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Contact information

Main Address
331 Main Street Suite 1, Johnson City, NY 13790-3330
Mailing Address
Phone number
(607) 584-4141
Established
Firm type
Fiscal year end
# of Employees
15

SEC notice filing (20 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NBT CAPITAL MANAGEMENT, INC. (6/17/2025)

Regulatory assets under management

Total Number of Accounts1,384
AUM (Assets Under Management)$ 1,494,546,162

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/16/2024
Cover Page
Report
01/11/2024
Cover Page
Report
11/14/2023
Cover Page
Report

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

NBT CAPITAL MANAGEMENT, INC.

CRD#: 104932Peoria Heights, IL 61616

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