KH
Kimberly Haws Falasco
ROBERT W. BAIRD & CO.
Mayville, NY
Some features on this profile are disabled
CRD#: 1537823
KH
Professional summary
Kimberly Haws Falasco, who also goes by Kimberly Haws Falasco, Kimberly Falasco, Kim Haws, Kimberly M Haws, Kimberly Michelle Haws, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Mayville, New York.
Kimberly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Kimberly has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 31, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kimberly Haws Falasco | Kimberly Falasco | Kim Haws | Kimberly M Haws | Kimberly Michelle Haws
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.
KINNIS INC 5043 RIDGE RD. MEDINA, OH 44256 49% SHAREHOLDER SINCE 1997 - THIS IS MY HUSBANDS COMPANY AND HE RUNS IT 100%. I HAVE NO DUTIES AND NO PAY. THIS IS A LANDSCAPING, LAWNCARE AND SNOW REMOVAL COMPANY. Name: KDF Investments LLC; Investment-related; Address; 5043 Ridge Rd, Medina, OH 44256; Nature: Private Company; Role: Officer; Start Date: 12/1/2005; Appx hrs: 0 hours; Hrs during trading: 0; Duties: we are a two person LLC we discuss all things financial NAME AND ADDRESS OF OTHER BUSINESS: HAWS FAMILY INVESTMENTS LLC, 64 SHARON WOODS RD., WADSWORTH, OH 44281 NATURE OF ENTITY: REAL ESTATE INVESTMENTS ROLE IN OUTSIDE BUSINESS ACTIVITY: CAPITAL PROVIDER AND CONSULTANT HOW MUCH TIME IS DEVOTED TO OTHER BUSINESS: 1 HOUR PER WEEK. NONE DURING SECURITIES TRADING HOURS. Name/Address: CASA 650 Dan Street, Akron OH, 44310 Start date: 9/20/10 Hours spent: 5 hours/month, 2 hours/month during trading hours Role/Responsibility: General Board Responsibilities and discussion of excess funds. Investment related. Name/Address: Akron Community Foundation 375 Cedar St Akron OH 44307 Start Date: 7/25/17 Hours Spent: 0-3 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Board Member; Finance Committee Investment Related Name/Address: Akron Urban League 440 Vernon Odom Blvd Akron OH 44307 Start Date: 5/4/22 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Board Member Investment/Finance Committee Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Kimberly Haws Falasco's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kimberly Haws Falasco's 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®
NoneExperience
Current
February 2, 2009 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #2: 3875 Embassy Pkwy Ste 300, Akron, OH 44333RIA
BD
CRD#: 8158
Mayville, NY
Current
January 30, 2009 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #2: 3875 Embassy Pkwy Ste 300, Akron, OH 44333RIA
BD
CRD#: 8158
Mayville, NY
Past
February 21, 2006 - February 17, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
AKRON, OH
Past
February 21, 2006 - February 17, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
AKRON, OH
Past
October 2, 2002 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
AKRON, OH
Past
September 13, 2002 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
AKRON, OH
Past
October 31, 1991 - September 18, 2002
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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".
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS
CRD#: 8158 / SEC#: 801-7571, 8-497
RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Arizona(1/30/2009)
RR
California(1/30/2009)
RR
Colorado(10/19/2011)
RR
Connecticut(11/5/2024)
RR
District of Columbia(2/5/2016)
RR
Florida(1/30/2009)
IAR
Florida(10/26/2017)
RR
Georgia(1/30/2009)
RR
Illinois(1/30/2009)
RR
Indiana(1/30/2009)
RR
Iowa(9/28/2020)
RR
Kansas(1/27/2021)
RR
Kentucky(11/2/2022)
RR
Maine(10/15/2018)
RR
Maryland(1/30/2009)
RR
Massachusetts(1/30/2009)
RR
Michigan(10/21/2011)
RR
Minnesota(10/19/2011)
RR
Missouri(11/3/2017)
RR
New Jersey(7/29/2019)
RR
New York(3/23/2011)
IAR
New York(5/16/2021)
RR
North Carolina(9/17/2010)
RR
Ohio(1/30/2009)
IAR
Ohio(2/2/2009)
RR
Oklahoma(10/12/2018)
RR
Oregon(5/29/2019)
RR
Pennsylvania(1/30/2009)
RR
South Carolina(1/30/2009)
RR
South Dakota(12/8/2015)
RR
Tennessee(8/28/2017)
RR
Texas(6/22/2016)
IAR
Texas(7/9/2018)
RR
Utah(12/14/2023)
RR
Virginia(1/30/2009)
RR
Washington(8/21/2023)
RR
West Virginia(9/1/2016)
RR
Wisconsin(1/26/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 2/28/1994
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS
CRD#: 8158 / SEC#: 801-7571, 8-497
RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391
Mailing Address
P.o. Box 672, Milwaukee, WI 53201
Phone number
(414) 765-3500
Established
Wisconsin since 12/29/1919
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
4,175
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAIRD FINANCIAL CORPORATION | SHAREHOLDER | |
| BOOTH, STEVEN GREGORY | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER | 2147388 |
| DAHLBERG, ERIK CHARLES | DIRECTOR | 1650544 |
| GRAVERSON, CHRISTA LYNN | CHIEF COMPLIANCE OFFICER | 4912961 |
| LAWTON, PATRICK STEVEN | DIRECTOR | 1007318 |
| MAXWELL, TERRANCE PATRICK | CHIEF FINANCIAL OFFICER, DIRECTOR | 1463158 |
| PALMER, ANGELA MARIE | REGISTERED INVESTMENT ADVISOR CCO | 4915568 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| SCHULTZ, PAUL LEE | GENERAL COUNSEL, SECRETARY | 1965163 |
| STANEK, MARY ELLEN | DIRECTOR | 2006493 |
| THUROW, LAURA K | CHIEF OPERATIONS OFFICER | 3193702 |
Regulatory assets under management
| Total Number of Accounts | 350,776 |
| AUM (Assets Under Management) | $ 342,142,869,924 |
Disclosures
| Regulatory Event | 43 |
| Arbitration | 31 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 11/15/2023 |
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.
