Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kim? Claim Your ProfileKim Sherwood has been working in the financial services industry since 1995. Kim is registered with Cetera Investment Advisers LLC and is licensed in 42 states. Kim provides financial planning, pension consulting, portfolio management for individuals and businesses, and educational seminars. Kim's previous work includes roles at Walnut Street Securities, Inc., Intersecurities, Inc., Prudential Securities Incorporated, and Quest Capital Strategies, Inc. Kim holds Series 7, Series 9, Series 10, Series 24, Series 63 and Series 65 licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
OH
06/29/2023 - Present
Cetera Investment Advisers LLC (CINCINNATI OH)
OH
02/06/2002 - 09/03/2013
WALNUT STREET SECURITIES, INC. (CINCINNATI OH)
FL
12/11/1995 - 01/11/2002
INTERSECURITIES, INC. (ST. PETERSBURG FL)
NY
03/23/1995 - 11/21/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
CA
01/10/1995 - 03/13/1995
QUEST CAPITAL STRATEGIES, INC. (LAGUNA HILLS CA)
IA
Issued 04/10/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/21/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/22/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/08/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/07/1997
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/09/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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