AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
KL

Kim W. Lovett

Some features on this profile are disabled
CRD#: 1874496
KL

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.

Kim Winkelman Lovett, who also goes by Kim Winkelman Conner, Kim W. Lovett, Kim Lovett, Kim Winkelman, was a registered financial professional .

Kim is a previously registered financial professional and started their career in finance in 1991. Kim had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kim Winkelman Conner | Kim W. Lovett | Kim Lovett | Kim Winkelman

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

July 1, 2016 - November 2, 2020

MERCAP SECURITIES, LLC

BD
CRD#: 156607
ATLANTA, GA
Past

June 1, 2016 - July 23, 2020

LOVETT ADVISORS LLC

RIA
CRD#: 283929
NEWARK, DE
Past

April 11, 2016 - June 10, 2016

ALMANACK INVESTMENT PARTNERS

RIA
CRD#: 282428
Wilmington, DE
Past

December 16, 2014 - July 8, 2016

SPIRE WEALTH MANAGEMENT, LLC

RIA
CRD#: 113908
WILMINGTON, DE
Past

December 4, 2014 - December 5, 2014

SPIRE WEALTH MANAGEMENT, LLC

RIA
CRD#: 113908
WILMINGTON, DE
Past

December 4, 2014 - July 6, 2016

SPIRE SECURITIES, LLC

BD
CRD#: 144131
Wilmington, DE
Past

June 4, 2010 - December 19, 2014

APW CAPITAL, INC.

BD
CRD#: 43814
ROCKAWAY, NJ
Past

September 21, 2009 - March 31, 2015

LOVETT ADVISORS

RIA
CRD#: 149898
WILMINGTON, DE
Past

December 2, 2008 - September 23, 2009

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WILMINGTON, DE
Past

December 2, 2008 - September 23, 2009

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WILMINGTON, DE
Past

June 7, 2005 - December 3, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
MIDDLETOWN, DE
Past

June 7, 2005 - December 3, 2008

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
MIDDLETOWN, DE
Past

January 1, 1998 - June 4, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
WILMINGTON, DE
Past

March 31, 1997 - June 4, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

November 30, 1992 - April 2, 1997

WILMINGTON BROKERAGE SERVICES COMPANY

BD
CRD#: 14942
WILMINGTON, DE
Past

August 12, 1991 - July 1, 1992

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

February 22, 1991 - July 26, 1991

THE ADVISORS GROUP, INC.

BD
CRD#: 14035
BETHESDA, MD

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: 9/3/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/4/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/27/1992
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/20/1991
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/26/2007
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/11/2006
General Securities Sales Supervisor - Options Module Examination

Current Firm

MS
MERCAP SECURITIES, LLC
MERCAP SECURITIES LLC | MERCAP SECURITIES, LLC

CRD#: 156607 / SEC#: , 8-68810

BD
Terminated by SEC on 01/24/2021
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
Mailing Address
Phone number
Established
Delaware since 12/29/2010
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SFA HOLDINGS, INC.ENTITY
GOLD, RANDY SCOTTPRESIDENT6952957
HEMDAL, MEGEN ANNCHIEF COMPLIANCE OFFICER5603503
HOLLOWAY, LAREE LYNNEFINOP1365566

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.

Company Information

MERCAP SECURITIES, LLC

CRD#: 156607

TRUST BUT VERIFY

Monitor Kim Lovett

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics