Kaye V. Riggs

SAINT FRANCIS CAPITAL

SAN LUIS OBISPO, CA 93401-1707

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CRD#: 5804031

Professional summary

Kaye Vincent Riggs is a registered financial advisor currently at SAINT FRANCIS CAPITAL located in San Luis Obispo, California.

Kaye is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Kaye has worked at 3 firms and has passed the Series 65 exam.

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 Kaye Vincent Riggs'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

June 25, 2013 - Present

SAINT FRANCIS CAPITAL

Office #1: 956 Walnut St Ste 200, San Luis Obispo, CA 93401-1707Office #2: 15655 John F. Kennedy Blvd Suite G, Houston, TX 77032Office #3: 359 Rockwell Church Road Ne, Winder, GA 30680

RIA

CRD#: 165376

SAN LUIS OBISPO, CA

Past

May 6, 2013 - May 13, 2013

DYNAMIC

RIA

CRD#: 151367

HOUSTON, TX

Past

June 22, 2010 - April 26, 2013

PKS ADVISORY SERVICES, LLC

RIA

CRD#: 125648

HOUSTON, TX

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

Louisiana
(8/8/2018)

IAR

Texas
(6/25/2013)

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: 5/21/2010

Uniform Investment Adviser Law Examination

Current Firm

SAINT FRANCIS CAPITAL

KAYE RIGGS & ASSOCIATES | SAINT FRANCIS CAPITAL, LLC | SAINT FRANCIS CAPITAL | KAYE VINCENT RIGGS | KAYE RIGGS & ASSOCIATES, LLC

CRD#: 165376 / SEC#: 801-78095

RIA

Registered Investment Advisory firm - (9/26/2013 Terminated)

California

Registered Investment Advisory firm - (2/15/2025 Terminated)

Georgia

Registered Investment Advisory firm - (8/18/2022 Approved)

Louisiana

Registered Investment Advisory firm - (8/6/2018 Approved)

New York

Registered Investment Advisory firm - (12/9/2019 Terminated)

Texas

Registered Investment Advisory firm - (9/24/2013 Approved)

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

359 Rockwell Church Road Ne, Winder, GA 30680

Mailing Address

956 Walnut Street - Suite 200, San Luis Obispo, CA 93401

Phone number

(800) 832-9682

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	174
AUM (Assets Under Management)	$ 37,553,684

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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Kaye V. Riggs

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kaye Vincent Riggs's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAINT FRANCIS CAPITAL

DYNAMIC

PKS ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/21/2010

Current Firm

SAINT FRANCIS CAPITAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SAINT FRANCIS CAPITAL

TRUST BUT VERIFY

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