KS
Kevin L. Strom
B. C. ZIEGLER AND COMPANY
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 1595516
KS
Professional summary
Kevin Louis Strom is a registered financial professional currently at B. C. ZIEGLER AND COMPANY located in Chicago, Illinois.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 1987. Kevin has worked at 6 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Kevin Louis Strom'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
August 7, 2007 - Present
B. C. ZIEGLER AND COMPANY
Office #1: One North Wacker Drive, Suite 2000, Chicago, IL 60606Office #2: One North Wacker Drive, Suite 2000, Chicago, IL 60606BD
CRD#: 61
Chicago, IL
Past
March 2, 1998 - June 18, 2007
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
CHICAGO, IL
Past
June 3, 1996 - March 2, 1998
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
November 11, 1994 - June 11, 1996
ABN AMRO INCORPORATED
BD
CRD#: 15776
STAMFORD, CT
Past
July 7, 1994 - November 28, 1994
LASALLE FINANCIAL SERVICES, INC.
BD
CRD#: 20373
CHICAGO, IL
Past
June 24, 1987 - June 1, 1994
BMO CAPITAL MARKETS GKST INC.
BD
CRD#: 8352
MINNEAPOLIS, MN
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(8/8/2007)
RR
Alaska(8/8/2007)
RR
Arizona(8/8/2007)
RR
Arkansas(8/8/2007)
RR
California(8/8/2007)
RR
Colorado(8/8/2007)
RR
Connecticut(8/8/2007)
RR
Delaware(8/8/2007)
RR
District of Columbia(8/8/2007)
RR
Florida(8/8/2007)
RR
Georgia(8/8/2007)
RR
Hawaii(8/8/2007)
RR
Idaho(8/8/2007)
RR
Illinois(8/7/2007)
RR
Indiana(8/8/2007)
RR
Iowa(8/8/2007)
RR
Kansas(8/8/2007)
RR
Kentucky(8/8/2007)
RR
Louisiana(8/8/2007)
RR
Maine(8/8/2007)
RR
Maryland(8/8/2007)
RR
Massachusetts(8/8/2007)
RR
Michigan(8/8/2007)
RR
Minnesota(8/8/2007)
RR
Mississippi(8/8/2007)
RR
Missouri(8/8/2007)
RR
Montana(8/8/2007)
RR
Nebraska(8/8/2007)
RR
Nevada(8/8/2007)
RR
New Hampshire(8/8/2007)
RR
New Jersey(8/8/2007)
RR
New Mexico(8/8/2007)
RR
New York(8/8/2007)
RR
North Carolina(8/8/2007)
RR
North Dakota(8/8/2007)
RR
Ohio(8/9/2007)
RR
Oklahoma(8/8/2007)
RR
Oregon(8/8/2007)
RR
Pennsylvania(8/8/2007)
RR
Rhode Island(8/8/2007)
RR
South Carolina(8/8/2007)
RR
South Dakota(8/8/2007)
RR
Tennessee(8/8/2007)
RR
Texas(8/8/2007)
RR
Utah(8/8/2007)
RR
Vermont(8/8/2007)
RR
Virginia(8/8/2007)
RR
Washington(8/8/2007)
RR
West Virginia(8/8/2007)
RR
Wisconsin(8/8/2007)
RR
Wyoming(8/8/2007)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
B. C. ZIEGLER AND COMPANY
B. C. ZIEGLER AND COMPANY | ZIEGLER WEALTH MANAGEMENT | ZIEGLER PRIVATE EQUITY | ZIEGLER INVESTMENT SERVICES GROUP | ZIEGLER CONSULTING SERVICE | ZIEGLER CAPITAL MARKETS | ZIEGLER | REACT GROUP
CRD#: 61 / SEC#: 801-19699, 8-94
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
One North Wacker Drive, Suite 2000 Suite 2000, Chicago, IL 60606
Mailing Address
One North Wacker Drive, Suite 2000, Chicago, IL 60606
Phone number
(312) 263-0110
Established
Wisconsin since 02/12/1920
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
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 | 2 |
| Arbitration | 2 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| 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.
