Kurt Halverstadt, financial advisor Roseville CA
59 score

Kurt Halverstadt

CRD Number: 1829540
Current Firm: The Sullivan Group

Kurt Halverstadt (CRD# 1829540) is an Investment Advisor Representative working at The Sullivan Group in Roseville, CA and has over 24 years of experience in the finance industry.

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Company Name Location Dates Years
Purshe Kaplan Sterling Investments Albany, NY Sep 2009 - Current 7
Capital Investment Management, Llc, Dba The Sullivan Group Roseville, CA Sep 2009 - Current 7
Morgan Stanley Smith Barney Roseville, CA Jun 2009 - Sep 2009 < 1
Morgan Stanley & Company, Inc. Roseville, CA Dec 2007 - Sep 2009 1
Wachovia Securities, LLC Roseville, CA Apr 2007 - Dec 2007 < 1
Wachovia Securities, LLC Sacramento, CA Jun 2003 - Apr 2007 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1992
S65 NASAA Investment Advisors Law Examination Jan 2001
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
  • Customer Dispute
  • Judgments / Liens
Get Details on the FINRA Advisor Check site
Contact Info for Kurt J. Halverstadt
Phone Number: 916-797-8500
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Commissions
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States


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