Kevin L. Strom
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kevin Louis Strom was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1987. Kevin had worked at 6 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2007 - June 22, 2026
B. C. ZIEGLER AND COMPANY
March 2, 1998 - June 18, 2007
RBC CAPITAL MARKETS, LLC
June 3, 1996 - March 2, 1998
DAIN RAUSCHER INCORPORATED
November 11, 1994 - June 11, 1996
ABN AMRO INCORPORATED
July 7, 1994 - November 28, 1994
LASALLE FINANCIAL SERVICES, INC.
June 24, 1987 - June 1, 1994
BMO CAPITAL MARKETS GKST INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
B. C. ZIEGLER AND COMPANY
CRD#: 61 / SEC#: 801-19699, 8-94
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE ZIEGLER COMPANIES, INC. | PARENT COMPANY | |
| DAVID, ANGELIQUE ATHIENA | EMD, GENERAL COUNSEL, CORPORATE SECRETARY, COO | 5445800 |
| HERMANN, DANIEL JOSEPH | CEO AND PRESIDENT | 1790977 |
| JEFFERSON, RYAN T | MANAGING DIRECTOR, CFO & DIRECTOR | 5844031 |
| KERR, MARCLETTA R | DIRECTOR, CHIEF COMPLIANCE OFFICER | 7463114 |
| STROM, KEVIN LOUIS | EMD HEAD OF CAPITAL MARKETS | 1595516 |
Disclosures
| Regulatory Event | 7 |
| Civil Event | 3 |
| Arbitration | 2 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Wisconsin | ERA - Withdrawn | 3/3/2025 |
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.
