Kimberly Karen Early Chapman
Professional Summary
Kimberly Karen Early Chapman, who also goes by Kimberly Karen Early, Kimberly Karne Early, Kimberly Karen Early, Kimberly K Herrick, Kimberly Karen Herrick, is a registered financial advisor currently at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Cedar Rapids, Iowa and SECURITIES MANAGEMENT & RESEARCH, INC. located in Cedar Rapids, Iowa. Kimberly is registered as a RR (Registered Representative) and started their career in finance in 1997. Kimberly has worked at 9 firms...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kimberly Karen Early, Kimberly Karne Early, Kimberly Karen Early, Kimberly K Herrick, Kimberly Karen Herrick
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
SECURITIES MANAGEMENT & RESEARCH, INC. | SOUTH SHORE ADVISORS, INC. | SM&R | SECURITIES MANAGEMENT AND RESEARCH, INC. ("SM&R") | SECURITIES MANAGEMENT AND RESEARCH, INC.
Contact Information
Main Address
4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402Mailing Address
4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402Phone Number
(855) 767-5700Established
Florida since 12/15/1964Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ONE FINANCIAL, INC. | PARENT | — |
| BERTHEL, THOMAS JOSEPH | CHAIRMAN OF BOARD/EXECUTIVE VICE PRESIDENT | 823289 |
| CHAPMAN, KIMBERLY KAREN EARLY | CHIEF COMPLIANCE OFFICER | 2527036 |
| CHRISTOFFERSON, ANDREW JAMES | CHIEF EXECUTIVE OFFICER/PRESIDENT | 3248381 |
| DAVENPORT, SHELLEY RAE | VICE PRESIDENT LEGAL & REGULATORY MATTERS | 2131376 |
| HOHN, JAMES RALPH | VICE PRESIDENT/TECHNOLOGY | 5413776 |
| NOETHEN, BRITTANY MICHELLE | CHIEF TECHNOLOGY OFFICER | 2610543 |
| RUPP, BRIAN MICHAEL | CHIEF FINANCIAL OFFICER/TREASURER | 6721718 |
| SCHAUL, JOANNA MARIE | CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 4947759 |
| WILCOX, RANDY AUSTIN | VICE PRESIDENT COMPLIANCE/OSJ MANAGER | 4346998 |
Disclosures
Regulatory Event
4Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 1997About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Kimberly Karen Early Chapman's CRS (Customer Relationship Summary).
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