Kurt Robert Palos
Professional Summary
Kurt Robert Palos is a registered financial advisor currently at SAXONY CAPITAL MANAGEMENT, LLC located in Saint Louis, Missouri and SAXONY SECURITIES, INC. located in St. Louis, Missouri. Kurt is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Kurt has worked at 2 firms and has passed the Series 66, Series 82TO, SIE, Series 7, Series 14, Series 26, Series 39 and Series 24...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
13 years in the financial services industry
Current & Past Employments
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Current Firm
9DOT WEALTH | WORKPLACE FINANCIAL ADVISORS | TUFTS FINANCIAL | STREAMLINE WEALTH ADVISORS | SAXONY SECURITIES, INC. | SAXONY INVESTMENT MANAGEMENT CORP. | SAXONY INSURANCE AGENCY, LLC | SAXONY CAPITAL MANAGEMENT, LLC | SAXONY CAPITAL MANAGEMENT LLC. | SAXONY ADVISORS | RANSON CAPITAL MANAGEMENT | IRONHORSE INVESTMENTS & ESTATE PLANNING | GREGORY PRIVATE WEALTH MANAGEMENT | GOLDEN ADVISING PARTNERS | GLASTONBURG GROUP | FORESIGHT INVESTMENTS | CENTRAL SECURITIES OF AMERICA | CAPITAL GROUP OF AMERICA | ADVOCATE CPAS & ADVISORS, LLC
Contact Information
Main Address
11152 S Towne Square, Saint Louis, MO 63123Phone Number
(314) 963-9336# of Employees
6SEC notice filing (29 States and Territories)
Registered to provide investment advisory services in 29 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,488AUM (Assets Under Management)
$367,861,457Similar Advisors
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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.
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Primary Firm SEC Registration
9DOT WEALTH | WORKPLACE FINANCIAL ADVISORS | TUFTS FINANCIAL | STREAMLINE WEALTH ADVISORS | SAXONY SECURITIES, INC. | SAXONY INVESTMENT MANAGEMENT CORP. | SAXONY INSURANCE AGENCY, LLC | SAXONY CAPITAL MANAGEMENT, LLC | SAXONY CAPITAL MANAGEMENT LLC. | SAXONY ADVISORS | RANSON CAPITAL MANAGEMENT | IRONHORSE INVESTMENTS & ESTATE PLANNING | GREGORY PRIVATE WEALTH MANAGEMENT | GOLDEN ADVISING PARTNERS | GLASTONBURG GROUP | FORESIGHT INVESTMENTS | CENTRAL SECURITIES OF AMERICA | CAPITAL GROUP OF AMERICA | ADVOCATE CPAS & ADVISORS, LLC
State Registrations and Notice Filings
(1/2/2014)
(1/2/2014)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 82TO — Limited Representative-Private Securities Offerings
Passed Jan 2023About the Series 82TO examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jan 2023About the Series 26 examSeries 39 — Direct Participation Programs Principal Examination
Passed Jan 2023About the Series 39 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Kurt Robert Palos's CRS (Customer Relationship Summary).
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