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NK

Neil M. Kay

OLD VINE CAPITAL
Austin, TX
Some features on this profile are disabled
CRD#: 6101164
NK

Professional summary

Neil Matthew Kay is a registered financial advisor currently at OLD VINE CAPITAL located in Austin, Texas.

Neil is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Neil has worked at 10 firms and has passed the Series 63, Series 65, SIE 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.
VILLA TERRA BELLA, LLC- As of April 11th, 2017. Managing member of the LLC which is a property management company. The property management company maintains the rental of private real estate and oversees viticulture. Requires about 5-10 hours per month and zero time during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Matthew Kay'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

November 7, 2019 - Present

OLD VINE CAPITAL

RIA
CRD#: 305172
Austin, TX
Past

November 8, 2018 - May 28, 2019

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA
CRD#: 105790
BOSTON, MA
Past

October 31, 2017 - November 8, 2018

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA
CRD#: 106435
San Franciso, CA
Past

April 24, 2017 - May 28, 2019

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

August 1, 2016 - April 11, 2017

HARTFORD FUNDS DISTRIBUTORS, LLC

BD
CRD#: 45995
SAN FRANCISCO, CA
Past

February 5, 2016 - April 11, 2017

HARTFORD FUNDS

RIA
CRD#: 130373
SAN FRANCISCO, CA
Past

June 26, 2015 - July 29, 2016

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
San Francisco, CA
Past

June 12, 2013 - March 19, 2015

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
SAN FRANCISCO, CA
Past

May 13, 2013 - March 19, 2015

BLACKROCK FUND ADVISORS

RIA
CRD#: 105247
SAN FRANCISCO, CA
Past

August 27, 2012 - May 17, 2013

FISHER INVESTMENTS

RIA
CRD#: 107342
SAN MATEO, CA

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
California
(11/7/2019)
IAR
Texas
(4/29/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 6/27/2013
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 8/24/2012
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/11/2013
General Securities Representative Examination

Current Firm

OV
OLD VINE CAPITAL
OLD VINE CAPITAL | OLD VINE CAPITAL, LLC

CRD#: 305172 / SEC#:

California
Registered Investment Advisory firm - (11/7/2019 Approved)
Texas
Registered Investment Advisory firm - (4/29/2020 Approved)
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Contact information

Main Address
Austin, TX
Mailing Address
Phone number
(415) 990-1420
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts239
AUM (Assets Under Management)$ 109,768,122

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

OLD VINE CAPITAL

CRD#: 305172Austin, TX

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