Roy C. Kurtzrock
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Roy Calvin Kurtzrock JR, who also goes by Roy C Kurtzrock, was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1981. Roy had worked at 4 firms and has passed the Series 63, SIE, Series 3, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2002 - July 31, 2020
HUNTER ASSOCIATES LLC
June 22, 1990 - May 10, 2002
A. G. EDWARDS & SONS, INC.
July 9, 1984 - June 29, 1990
GRUNTAL & CO., L.L.C.
January 19, 1981 - July 10, 1984
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
HUNTER ASSOCIATES LLC
CRD#: 30177 / SEC#: 801-42007, 8-44779
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 8
Date: 12/7/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HUNTER ASSOCIATES LLC
CRD#: 30177 / SEC#: 801-42007, 8-44779
Contact information
SEC notice filing (31 States and Territories)
FINRA licenses (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,334 |
| AUM (Assets Under Management) | $ 1,201,488,433 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2025 | ||
| 09/30/2024 | ||
| 07/27/2023 | ||
| 12/21/2022 |
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.
