AdvisorOS Directory
Claim Profile
Unclaimed Profile
KT

Kevin Peter Tanner

SARATOGA RESEARCH & INVESTMENT MANAGEMENT·SARATOGA, California
Series 3, Series 4, Series 7, Series 24, Series 63, Series 65Clean record30 years registeredSARATOGA RESEARCH & INVESTMENT MANAGEMENT
14471 BIG BASIN WAY, SUITE E, SARATOGA, CA 95070CRD# 1397749Firm CRD# 110506

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Kevin Peter Tanner · SARATOGA, CA
Registration
CRD #1397749 · SARATOGA RESEARCH & INVESTMENT MANAGEMENT · 30 years registered
Brand Profile
Not yet started
01

Career History

SARATOGA RESEARCH & INVESTMENT MANAGEMENT
Aug 1995 – present
02

Registrations & Exams

FINRA examinations passed
Series 3
Series 4
Series 7
Series 24
Series 63
Series 65
Registration record
First registered · August 29, 1995
Years registered · 30
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
SARATOGA RESEARCH & INVESTMENT MANAGEMENT
CRD 110506 · SEC 801-57695
AUM
$2.7B
Regulatory assets under management
Employees
23
3,207 client accounts
Services offered by SARATOGA RESEARCH & INVESTMENT MANAGEMENT
Per Form ADV
Financial planning
Portfolio management (individuals)
Portfolio management (pooled investments)
Pension consulting
Other
Client types served by the firm
Per Form ADV
Individuals
Institutional Investors
Pension & Retirement Plans
High Net Worth Individuals
View all advisors at SARATOGA RESEARCH & INVESTMENT MANAGEMENT →
Introduction

Speak with Kevin

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Kevin is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in SARATOGA?

Browse all registered financial advisors in SARATOGA, California or claim this profile if it's yours.

Browse SARATOGA AdvisorsAre you this advisor? Claim profile
05

Frequently Asked Questions

What services does Kevin Peter Tanner offer?
Kevin Peter Tanner specializes in Financial Planning, Investment Management, Retirement Planning, Fee-Only Advisory. Contact their office in SARATOGA, California for a consultation.
What are Kevin Peter Tanner's credentials?
Kevin Peter Tanner is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Kevin Peter Tanner located?
Kevin Peter Tanner is based in SARATOGA, California, working with SARATOGA RESEARCH & INVESTMENT MANAGEMENT. Their office serves clients in the SARATOGA metropolitan area and surrounding communities.
How does Kevin Peter Tanner charge for services?
Kevin Peter Tanner's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is SARATOGA RESEARCH & INVESTMENT MANAGEMENT?
SARATOGA RESEARCH & INVESTMENT MANAGEMENT has approximately 23 employees and manages $2.7B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
Not sure what to look for in an advisor?
Try our free Advisor Match Quiz →

Other Advisors at SARATOGA RESEARCH & INVESTMENT MANAGEMENT

Aileen Kay Braga
SARATOGA, CA
Marc Cook Crosby
SARATOGA, CA
James Harold Tanner
SARATOGA, CA

More Advisors in SARATOGA, California

Lawrence Frederick Pizzella
ARIA WEALTH MANAGEMENT, INC.·SARATOGA, CA
Yanjuan Huang
VIENNA ASSET MANAGEMENT LLC·SARATOGA, CA
CFP
Jonathan Brian Jillson
SCION ASSET MANAGEMENT, LLC·SARATOGA, CA

Browse by Specialty

Investment ManagementRetirement PlanningWealth ManagementFinancial PlanningFee-Only AdvisoryFinancial Education
Nearby cities in California
SAN FRANCISCO (951)LOS ANGELES (679)SAN DIEGO (421)NEWPORT BEACH (277)IRVINE (191)PASADENA (130)WALNUT CREEK (121)SANTA MONICA (118)SANTA BARBARA (103)LA JOLLA (100)
City Guides
SAN FRANCISCO GuideLOS ANGELES GuideSAN DIEGO GuideNEWPORT BEACH GuideIRVINE Guide
Research
Advisor Fees in CaliforniaNational Fee Analysis
Request removal of this profile