KB
Kimberly S. Benefield
ROBERT W. BAIRD & CO.
Columbia, TN 38401
Some features on this profile are disabled
CRD#: 1935089
KB
Professional summary
Kimberly S Benefield, who also goes by Kim Benefield, Kimberly Marie Benefield, Kimberly Seaton Benefield, Kimberly Marie Seaton, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Columbia, Tennessee.
Kimberly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Kimberly has worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kim Benefield | Kimberly Marie Benefield | Kimberly Seaton Benefield | Kimberly Marie Seaton
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) - RIA
Click below to view Kimberly S Benefield's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kimberly S Benefield'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
September 2, 2021 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 500 W 7th Street, Columbia, TN 38401RIA
BD
CRD#: 8158
Columbia, TN
Current
September 1, 2021 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 500 W 7th Street, Columbia, TN 38401RIA
BD
CRD#: 8158
Columbia, TN
Past
July 11, 2011 - September 17, 2021
MORGAN STANLEY
RIA
CRD#: 149777
Nashville, TN
Past
July 8, 2011 - September 17, 2021
MORGAN STANLEY
BD
CRD#: 149777
Nashville, TN
Past
October 9, 2007 - June 17, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
COLUMBUS, OH
Past
May 23, 2007 - June 17, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
COLUMBUS, OH
Past
December 2, 2004 - July 29, 2005
AMFIN INVESTMENT SERVICES, INC.
BD
CRD#: 13945
CLEVELAND, OH
Past
March 19, 2002 - December 5, 2003
LUKEN INVESTMENT GROUP, INC.
BD
CRD#: 47009
NASHVILLE, TN
Past
October 1, 1999 - October 2, 2001
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
June 26, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
July 10, 1996 - June 23, 1998
ICBA SECURITIES
BD
CRD#: 24088
MEMPHIS, TN
Past
June 11, 1996 - June 23, 1998
VINING-SPARKS IBG, LLC
BD
CRD#: 27502
MEMPHIS, TN
Past
January 5, 1995 - June 24, 1996
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
June 25, 1991 - December 5, 1994
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
Past
March 21, 1989 - May 24, 1990
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, 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
Alabama(11/21/2023)
RR
Arkansas(11/21/2023)
RR
California(11/21/2023)
RR
Colorado(11/21/2023)
RR
Delaware(11/21/2023)
RR
Florida(11/21/2023)
RR
Georgia(11/21/2023)
RR
Illinois(11/21/2023)
RR
Indiana(11/21/2023)
RR
Kansas(11/21/2023)
RR
Louisiana(11/21/2023)
RR
Maine(11/21/2023)
RR
Massachusetts(11/21/2023)
RR
Michigan(11/21/2023)
RR
Mississippi(11/21/2023)
RR
New Jersey(11/21/2023)
RR
New York(11/21/2023)
RR
North Carolina(11/21/2023)
RR
Ohio(9/26/2022)
RR
Oklahoma(11/21/2023)
RR
Pennsylvania(11/21/2023)
RR
South Carolina(11/21/2023)
RR
Tennessee(9/1/2021)
IAR
Tennessee(9/2/2021)
RR
Texas(11/21/2023)
RR
Virginia(11/21/2023)
RR
Washington(11/21/2023)
RR
Wisconsin(11/21/2023)
Exams
State Security Law Exam
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
Principal/Supervisory Exam
RR
Series 8
Date: 2/9/1995
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.
Company Information
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158Columbia, TN 38401TRUST BUT VERIFY
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