KH
KH
Kurt Halverstadt
37 Years of Experience
Roseville, CA
10 DisclosuresBrokerSells Insurance
Kurt Halverstadt is a registered investment advisor, based in Roseville, CA, with 37 years of industry experience.
Location
564 North Sunrise Avenue, Roseville, CA, 95661
Get directionsHistory
Regulatory History (10)
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Judgment / Lien
June 2024Judgment / Lien
October 2018Judgment / Lien
June 2018Judgment / Lien
August 2015Judgment / Lien
March 2015Judgment / Lien
February 2014Judgment / Lien
January 2014Judgment / Lien
May 2013Customer Dispute
January 2008Settled
Customer Dispute
December 1999Denied
Other Business ActivitiesSells Insurance
Kurt is a Managing Director at Capital Investment Management, LLC, managing investments for clients, dedicating nearly full-time hours to this role. He also works as a representative for Brightstar Insurance Partners Insurance Services, prospecting for life insurance clients for about 10-20% of his time.
Employment History
Current Registrations
Purshe Kaplan Sterling Investments
September 2009 - Present · 16 yrs 8 mos
Purshe Kaplan Sterling InvestmentsBroker
September 2009 - Present · 16 yrs 8 mos
The Sullivan Group
September 2009 - Present · 16 yrs 8 mos
Previous Registrations
Morgan Stanley Smith BarneyBroker
June 2009 - September 2009 · 3 mos
Morgan Stanley Smith Barney LLC
June 2009 - September 2009 · 3 mos
Morgan Stanley & CO. IncorporatedBroker
December 2007 - June 2009 · 1 yr 6 mos
Morgan Stanley & CO. Incorporated
December 2007 - June 2009 · 1 yr 6 mos
Wachovia Securities, LLC
January 2002 - December 2007 · 5 yrs 11 mos
Wachovia Securities, LLCBroker
December 2001 - December 2007 · 6 yrs
Wells Fargo Investments, LLCBroker
May 2001 - December 2001 · 7 mos
Wells Fargo Securities INC.Broker
October 1999 - May 2001 · 1 yr 7 mos
First Union Securities, INC.Broker
July 1996 - November 1999 · 3 yrs 4 mos
Smith Barney INC.Broker
July 1993 - August 1996 · 3 yrs 1 mo
Lehman Brothers INC.Broker
May 1993 - July 1993 · 2 mos
Prudential Securities IncorporatedBroker
January 1992 - May 1993 · 1 yr 4 mos
First American National Securities, INC.Broker
June 1988 - April 1992 · 3 yrs 10 mos
State Registrations6 states
AZCANVOKTXWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.