Kimberly K. 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 professional 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 and has passed the Series 99TO, SIE, Series 7, Series 6, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kimberly Karen Early Chapman's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 24, 2020 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 4201 42nd Street Ne, Suite 100 Box 11340, Cedar Rapids, IA 52410-1340November 24, 2020 - Present
SECURITIES MANAGEMENT & RESEARCH, INC.
Office #1: 4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402June 6, 2017 - November 20, 2020
SS&C MARKET SERVICES, LLC
May 3, 2017 - June 9, 2017
THRIVENT INVESTMENT MANAGEMENT INC.
August 23, 2016 - May 1, 2017
SS&C MARKET SERVICES, LLC
October 29, 2015 - August 24, 2016
THRIVENT DISTRIBUTORS, LLC
January 15, 2014 - August 24, 2016
THRIVENT INVESTMENT MANAGEMENT INC.
April 12, 2011 - May 30, 2013
WOODBURY FINANCIAL SERVICES, INC.
December 9, 2010 - March 25, 2011
PIPER SANDLER & CO.
February 25, 1997 - July 3, 2006
IDS LIFE INSURANCE COMPANY
February 25, 1997 - December 22, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
SECURITIES MANAGEMENT & RESEARCH, INC.
CRD#: 759 / SEC#: 801-8002, 8-12745
Contact information
FINRA licenses (52 States and Territories)
Documents
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 |
| MEEHAN, DANIEL GERARD | VICE PRESIDENT RECRUITING | 2264556 |
| MURPHY, RICHARD MAURICE | EXECUTIVE VICE PRESIDENT | 4893748 |
| 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 | 4 |
| Arbitration | 1 |
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.
