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KB

Kevin S. Baltimore

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CRD#: 1863517
KB

Professional summary

Kevin Seth Baltimore was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kevin is a previously registered financial advisor and started their career in finance in 1988. Prior to being barred, Kevin had worked at 5 firms, which includes WOODSTOCK FINANCIAL GROUP INC., FIRST ALLIED SECURITIES INC., BALTIMORE ASSET MANAGEMENT, ROUND HILL SECURITIES INC., MORGAN STANLEY DW INC..

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 15, 2007 - November 8, 2010

WOODSTOCK FINANCIAL GROUP, INC.

RIA
CRD#: 38095
N. CHAS, SC
Past

November 15, 2007 - November 8, 2010

WOODSTOCK FINANCIAL GROUP, INC.

BD
CRD#: 38095
N. CHAS, SC
Past

April 21, 2005 - November 9, 2007

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
NORTH CHARLESTON, SC
Past

May 18, 2004 - December 31, 2007

BALTIMORE ASSET MANAGEMENT

RIA
CRD#: 131306
CHARLESTON, SC
Past

November 25, 2003 - June 13, 2005

ROUND HILL SECURITIES, INC.

BD
CRD#: 35223
ALAMO, CA
Past

January 3, 2003 - December 10, 2003

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
CHARLESTON, SC
Past

September 20, 1988 - December 10, 2003

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/3/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/28/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 10/19/1988
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/17/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/5/2004
General Securities Principal Examination

Current Firm

WF
WOODSTOCK FINANCIAL GROUP, INC.
ASSET MARKETING STRATEGIES,LLC | WOODSTOCK FINANCIAL GROUP, INC. | WINSTON COOPER INC. | WILLIAMS ADVISORY GROUP, LLC | WIENIEWITZ FINANCIAL | VERITAS FINANCIAL GROUP | TOMOLONIS FINANCIAL, LLC | ROOT FINANCIAL SERVICES | ROBERTS WEALTH MANAGEMENT | RETIREMENT SOLUTIONS OF GA | REINHARDT CONSULTING GROUP | RAIKE FINANCIAL GROUP INC. | RAIKE FINANCIAL GROUP | LOTUS POSITIONS, LLC | LAKE WYLIE FINANCIAL, LLC | GLASGOW FINANCIAL SERVICES | FIRST CHOICE FINANCIAL GROUP | FESSLER FINANCIAL GROUP | FESSLER FINANCIAL | F.I.T. FINANCIAL | EDGEWOOD FINANCIAL | DRESSLER FINANCIAL SERVICES, INC. | DRAWDY FINANCIAL SERVICES, LLC | COVENANT WEALTH MANAGEMENT | CORE FINANCIAL | CBG FINANCIAL INC. | BRUCKNER FINANCIAL GROUP | BRANCA FINANCIAL GROUP | BOND FINANCIAL SERVICES

CRD#: 38095 / SEC#: 801-65881, 8-48080

BD
Terminated by SEC on 02/10/2020
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Contact information

Main Address
117 Towne Lake Parkway Suite 200, Woodstock, GA 30188
Mailing Address
Phone number
Established
Georgia since 04/28/2009
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A - MARCH 29, 2018 (3/30/2018)

Direct owners and executive officers

NamePositionCRD#
WOODSTOCK HOLDINGS INCHOLDING COMPANY
BRANCA, ANTHONY DOUGLASCHIEF COMPLIANCE OFFICER OF BD1178639
BRANCA, ANTHONY DOUGLASCHIEF OPERATING OFFICER1178639
RAIKE, WILLIAM JASPER IIICHIEF COMPLIANCE OFFICER - RIA1502298
RAIKE, WILLIAM JASPER IIIPRESIDENT / CEO1502298
RAIKE, WILLIAM JASPER IIIROSFP1502298
WHITLEY, MELISSA LYNNCHIEF FINANCIAL OFFICER / FINOP2615710

Disclosures

Regulatory Event6
Arbitration7

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

WOODSTOCK FINANCIAL GROUP, INC.

CRD#: 38095

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