John K. Durden Jr

OAK TREE SECURITIES

Livermore, CA 94551-4949

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CRD#: 860423

Professional summary

John Kenneth Durden Jr, who also goes by John Kenneth Durden Jr, is a registered financial professional currently at OAK TREE SECURITIES, INC. located in Livermore, California and ALAMO CAPITAL located in Walnut Creek, California.

John is registered as a RR (Registered Representative) and started their career in finance in 1978. John has worked at 37 firms and has passed the Series 63, Series 99TO, SIE, Series 27, Series 40 and F04 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John Kenneth Durden Jr

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) - BD

Click below to view John Kenneth Durden Jr'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®

None

Experience

Current

January 3, 2008 - Present

OAK TREE SECURITIES, INC.

Office #1: 4049 First Street Suite 129, Livermore, CA 94551-4949

RIA

CRD#: 18126

Livermore, CA

Current

April 23, 2020 - Present

ALAMO CAPITAL

Office #1: 201 N Civic Dr #180, Walnut Creek, CA 94596

RIA

CRD#: 26193

Walnut Creek, CA

Current

September 28, 2022 - Present

CONTINENTAL INVESTORS SERVICES, INC.

Office #1: 1330 Broadway St., Longview, WA 98632

RIA

CRD#: 29775

Longview, WA

Past

July 23, 2014 - March 18, 2016

ACN SECURITIES INC.

CRD#: 37645

NEW YORK, NY

Past

April 17, 2014 - March 11, 2016

SECURITY RESEARCH ASSOCIATES, INC.

CRD#: 8200

SAN FRANCISCO, CA

Past

January 23, 2013 - November 24, 2017

INSTREAM PARTNERS LLC

CRD#: 110443

SUNNYVALE, CA

Past

November 4, 2010 - March 26, 2012

VITESSE TRADING GROUP LLC

CRD#: 152148

GREENWICH, CT

Past

December 16, 2009 - May 4, 2010

FORTUNE CAPITAL PARTNERS, INC.

CRD#: 133340

SUNNYVALE, CA

Past

July 30, 2009 - December 29, 2009

EMMETT A LARKIN COMPANY, INC.

CRD#: 6625

SAN FRANCISCO, CA

Past

November 2, 2007 - January 31, 2025

STUDENT OPTIONS, LLC

CRD#: 31626

SAN FRANCISCO, CA

Past

August 30, 2007 - March 11, 2008

DELTA DIVIDEND GROUP, INC.

CRD#: 32266

SAN FRANCISCO, CA

Past

January 25, 2007 - October 26, 2007

REDWOOD SECURITIES GROUP, INC.

CRD#: 27536

SAN FRANCISCO, CA

Past

November 26, 2001 - April 19, 2002

CNS DISTRIBUTORS, INC.

CRD#: 43607

NOVATO, CA

Past

November 26, 2001 - May 24, 2005

PYRAMID FINANCIAL CORP.

CRD#: 23181

CUPERTINO, CA

Past

November 26, 2001 - October 16, 2007

GOLDEN TRIANGLE SECURITIES LLC

CRD#: 45641

CARMEL, CA

Past

November 26, 2001 - March 2, 2010

SAYBROOK CAPITAL CORPORATION

CRD#: 26398

SANTA MONICA, CA

Past

November 26, 2001 - November 2, 2010

M. HADLEY SECURITIES, INC.

CRD#: 37893

SAN FRANCISCO, CA

Past

November 26, 2001 - June 1, 2015

INTEGRITY SECURITIES, INC.

CRD#: 41321

OAKLAND, CA

Past

November 26, 2001 - April 2, 2024

KW SECURITIES CORPORATION

CRD#: 8237

LARKSPUR, CA

Past

January 17, 2001 - April 17, 2001

BLACKBEARD SECURITIES, LLC

CRD#: 46748

SAN FRANCISCO, CA

Past

January 7, 1997 - March 5, 1997

THE HERITAGE GROUP, INC.

CRD#: 24906

SAN FRANCISCO, CA

Past

January 6, 1997 - May 20, 1998

TRANSGLOBAL INVESTMENTS INC.

CRD#: 29290

Past

February 7, 1994 - October 26, 1994

MCLAUGHLIN CAPITAL MARKETS, INC.

CRD#: 29770

HALF MOON BAY, CA

Past

January 25, 1994 - June 8, 1995

ROBERT VAN SECURITIES, INC.

CRD#: 29581

OAKLAND, CA

Past

September 10, 1993 - January 31, 2001

FORTREND SECURITIES, INC.

CRD#: 32949

MELBOURNE, VIC,

Past

August 3, 1993 - January 31, 1994

EXPANSION CAPITAL SECURITIES

CRD#: 24121

SAN FRANCISCO, CA

Past

July 13, 1993 - September 10, 1996

RYKEL SECURITIES, INC.

CRD#: 32179

CAMERON PARK, CA

Past

June 7, 1993 - June 8, 1994

GLOBAL STRATEGIES GROUP, INC.

CRD#: 27414

NEW YORK, NY

Past

May 27, 1993 - August 8, 1996

RFCA FINANCIAL SERVICES, INC.

CRD#: 16562

TORRANCE, CA

Past

April 23, 1993 - August 1, 1996

LAM SECURITIES INVESTMENTS, INC.

CRD#: 17037

SAN FRANCISCO, CA

Past

December 22, 1992 - July 31, 1995

FITZGERALD CAPITAL ADVISERS, LTD.

CRD#: 29789

TETON VILLAGE, WY

Past

June 3, 1992 - September 15, 1999

P.R. TAYLOR & CO., INC.

CRD#: 23716

PALO ALTO, CA

Past

June 2, 1992 - August 5, 1996

PORTSMOUTH FINANCIAL SERVICES

CRD#: 13980

SAN FRANCISCO, CA

Past

May 13, 1992 - September 10, 1993

FORTREND SECURITIES, INC.

CRD#: 10677

Past

January 6, 1992 - February 14, 1992

PACIFIC COAST FINANCIAL SECURITIES, INC.

CRD#: 29267

Past

July 7, 1986 - September 1, 1987

HAMBRECHT & QUIST LLC

CRD#: 940

Past

December 7, 1978 - March 20, 1985

ROBERTSON, STEPHENS & COMPANY LLC

CRD#: 7730

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".

CONTINENTAL INVESTORS SERVICES, INC.

CIS-WEALTH MANAGEMENT-A DIVISION OF CIS | CONTINENTAL INVESTORS SERVICES, INC.

CRD#: 29775 / SEC#: 801-122737, 8-44523

RIA

Registered Investment Advisory firm - SEC (11/22/2021 Approved)

Alaska

Registered Investment Advisory firm - SEC (3/24/2023 Terminated)

Arizona

Registered Investment Advisory firm - SEC (3/21/2023 Terminated)

California

Registered Investment Advisory firm - SEC (4/20/2023 Terminated)

Georgia

Registered Investment Advisory firm - SEC (4/18/2023 Terminated)

Idaho

Registered Investment Advisory firm - SEC (3/21/2023 Terminated)

Nevada

Registered Investment Advisory firm - SEC (4/20/2023 Terminated)

New York

Registered Investment Advisory firm - SEC (3/21/2023 Terminated)

North Dakota

Registered Investment Advisory firm - SEC (12/7/2023 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (3/21/2023 Terminated)

Oregon

Registered Investment Advisory firm - SEC (4/3/2023 Terminated)

Texas

Registered Investment Advisory firm - SEC (3/21/2023 Terminated)

Utah

Registered Investment Advisory firm - SEC (3/21/2023 Terminated)

Washington

Registered Investment Advisory firm - SEC (4/24/2023 Terminated)

Wyoming

Registered Investment Advisory firm - SEC (3/21/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/4/2008)

Washington
(9/28/2022)

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

Series 63

Date: 10/6/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 1/2/2023

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 27

Date: 8/8/1991

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 40

Date: 11/28/1978

Registered Principal Examination

Principal/Supervisory Exam

F04

Date: 11/27/1978

Financial Principal Examination

SRO Registrations

FINRA

Current Firm

CONTINENTAL INVESTORS SERVICES, INC.

CIS-WEALTH MANAGEMENT-A DIVISION OF CIS | CONTINENTAL INVESTORS SERVICES, INC.

CRD#: 29775 / SEC#: 801-122737, 8-44523

RIA

Registered Investment Advisory firm - SEC (11/22/2021 Approved)

Alaska

Registered Investment Advisory firm - SEC (3/24/2023 Terminated)

Arizona

Registered Investment Advisory firm - SEC (3/21/2023 Terminated)

California

Registered Investment Advisory firm - SEC (4/20/2023 Terminated)

Georgia

Registered Investment Advisory firm - SEC (4/18/2023 Terminated)

Idaho

Registered Investment Advisory firm - SEC (3/21/2023 Terminated)

Nevada

Registered Investment Advisory firm - SEC (4/20/2023 Terminated)

New York

Registered Investment Advisory firm - SEC (3/21/2023 Terminated)

North Dakota

Registered Investment Advisory firm - SEC (12/7/2023 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (3/21/2023 Terminated)

Oregon

Registered Investment Advisory firm - SEC (4/3/2023 Terminated)

Texas

Registered Investment Advisory firm - SEC (3/21/2023 Terminated)

Utah

Registered Investment Advisory firm - SEC (3/21/2023 Terminated)

Washington

Registered Investment Advisory firm - SEC (4/24/2023 Terminated)

Wyoming

Registered Investment Advisory firm - SEC (3/21/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

1330 Broadway Street, Longview, WA 98632

Mailing Address

P.o. Box 888, Longview, WA 98632-7552

Phone number

(360) 423-5110

Established

Washington since 12/16/1991

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

SEC notice filing (18 States and Territories)

FINRA licenses (42 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 2025 (12/1/2025)

FORM ADV PART 1 2025 (12/1/2025)

Direct owners and executive officers

Name	Position	CRD#
KAMP, MAX BRYAN	PRESIDENT, CEO/DIRECTOR,CCO	838249
TREMBLEY, BETTY JANE	SHAREHOLDER	736205
ELO, MICHELLE FRANCIS	CHIEF FINANCIAL OFFICER	2651623

Regulatory assets under management

Total Number of Accounts	605
AUM (Assets Under Management)	$ 196,792,432

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

John K. Durden Jr

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Kenneth Durden Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALAMO CAPITAL

CONTINENTAL INVESTORS SERVICES, INC.

ACN SECURITIES INC.

SECURITY RESEARCH ASSOCIATES, INC.

INSTREAM PARTNERS LLC

VITESSE TRADING GROUP LLC

FORTUNE CAPITAL PARTNERS, INC.

EMMETT A LARKIN COMPANY, INC.

STUDENT OPTIONS, LLC

DELTA DIVIDEND GROUP, INC.

REDWOOD SECURITIES GROUP, INC.

CNS DISTRIBUTORS, INC.

PYRAMID FINANCIAL CORP.

GOLDEN TRIANGLE SECURITIES LLC

SAYBROOK CAPITAL CORPORATION

M. HADLEY SECURITIES, INC.

INTEGRITY SECURITIES, INC.

KW SECURITIES CORPORATION

BLACKBEARD SECURITIES, LLC

THE HERITAGE GROUP, INC.

TRANSGLOBAL INVESTMENTS INC.

MCLAUGHLIN CAPITAL MARKETS, INC.

ROBERT VAN SECURITIES, INC.

FORTREND SECURITIES, INC.

EXPANSION CAPITAL SECURITIES

RYKEL SECURITIES, INC.

GLOBAL STRATEGIES GROUP, INC.

RFCA FINANCIAL SERVICES, INC.

LAM SECURITIES INVESTMENTS, INC.

FITZGERALD CAPITAL ADVISERS, LTD.

P.R. TAYLOR & CO., INC.

PORTSMOUTH FINANCIAL SERVICES

FORTREND SECURITIES, INC.

PACIFIC COAST FINANCIAL SECURITIES, INC.

HAMBRECHT & QUIST LLC

ROBERTSON, STEPHENS & COMPANY LLC

Primary Firm SEC Registration

CONTINENTAL INVESTORS SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/6/1993

Series 99TO

Date: 1/2/2023

SIE

Date: 1/2/2023

Series 27

Date: 8/8/1991

Series 40

Date: 11/28/1978

F04

Date: 11/27/1978

FINRA

Current Firm

CONTINENTAL INVESTORS SERVICES, INC.

Contact information

SEC notice filing (18 States and Territories)

FINRA licenses (42 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CONTINENTAL INVESTORS SERVICES, INC.

TRUST BUT VERIFY