Kim E. Surrett
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 Elizabeth Surrett, who also goes by Kim E Busby, Kim E Durbin, Kim E Fuentez, Kim E Naylor, was a registered financial professional .
Kim is a previously registered financial professional and started their career in finance in 1993. Kim had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2022 - December 21, 2023
FORVIS MAZARS WEALTH ADVISORS, LLC
January 3, 2017 - August 24, 2022
DIXON HUGHES GOODMAN WEALTH ADVISORS LLC
April 14, 2015 - December 31, 2016
DIXON HUGHES GOODMAN WEALTH ADVISORS LLC
February 20, 2013 - April 1, 2015
JANNEY MONTGOMERY SCOTT LLC
February 20, 2013 - April 1, 2015
JANNEY MONTGOMERY SCOTT LLC
October 20, 2008 - February 22, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 20, 2008 - February 22, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 10, 2006 - November 3, 2008
CITIGROUP GLOBAL MARKETS INC.
January 2, 2002 - November 3, 2008
CITIGROUP GLOBAL MARKETS INC.
June 25, 1993 - January 2, 2002
THE ROBINSON-HUMPHREY COMPANY, LLC
Primary Firm SEC Registration
FORVIS MAZARS WEALTH ADVISORS, LLC
CRD#: 110905 / SEC#: 801-56928
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 8
Date: 12/6/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FORVIS MAZARS WEALTH ADVISORS, LLC
CRD#: 110905 / SEC#: 801-56928
Contact information
SEC notice filing (41 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 13,227 |
| AUM (Assets Under Management) | $ 9,751,986,659 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/18/2025 | ||
| 09/18/2024 | ||
| 01/23/2024 | ||
| 11/21/2022 |
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.
