KS
Kim E. Sherwood
CETERA INVESTMENT ADVISERS LLC
CINCINNATI, OH 45241
Some features on this profile are disabled
CRD#: 2551860
KS
Professional summary
Kim E Sherwood, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Cincinnati, Ohio and CETERA WEALTH SERVICES, LLC located in Cincinnati, Ohio.
Kim is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Kim has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
(1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 2002 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE (2) NAME OF OTHER BUSINESS: WESTVIEW CONDOMINIUMS BOD INVESTMENT RELATED: NO ADDRESS: 2500 WARSAW AVE, CINCINNATI NATURE OF BUSINESS: CONDOMINIUM BOARD OF DIRECTORS START DATE: 11/2014 POSITION/TITLE/RELATIONSHIP: MEMBER APX NUMBER OF HOURS PER WEEK: 1 NONE DURING TRADING HOURS: BRIEF DESCRIPTION OF DUTIES: MAKE DECISIONS RELATING TO PROPERTY MAINTENANCE WITH BOARD AND 3RD PARTY MANAGEMENT CO. (3) NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENTIAL LOCATION NATURE OF BUSINESS: STAND-UP COMEDY START DATE: 12/2006 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: STAND-UP COMEDY AND RELATED PODCASTS & VIDEOS. (4) NAME OF OTHER BUSINESS: CENTER STAGE FINANCIAL INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 02/2020 POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES (5) NAME OF OTHER BUSINESS: N/A ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARY PUBLIC FOR OHIO ; START DATE: 02/2000 ; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: NOTARIZE FINANCIAL DOCUMENTS FOR SECURITIES CLIENTS
CRS (Client Relationship Summary) - RIA
Click below to view Kim E Sherwood'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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 11427 Reed Hartman Hwy Ste 202, Cincinnati, OH 45241RIA
CRD#: 105644
CINCINNATI, OH
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 11427 Reed Hartman Hwy Ste 202, Cincinnati, OH 45241BD
CRD#: 13572
Cincinnati, OH
Past
September 3, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
CINCINNATI, OH
Past
February 15, 2007 - December 13, 2018
LFG ADVISORY SERVICES
RIA
CRD#: 142222
CINCINNATI, OH
Past
April 29, 2005 - September 3, 2013
WALNUT STREET SECURITIES, INC.
RIA
CRD#: 15840
CINCINNATI, OH
Past
May 21, 2003 - November 3, 2006
WALNUT STREET ADVISERS INC
RIA
CRD#: 109903
CINCINNATI, OH
Past
February 6, 2002 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
CINCINNATI, OH
Past
December 11, 1995 - January 11, 2002
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
March 23, 1995 - November 21, 1995
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
January 10, 1995 - March 13, 1995
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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(9/3/2013)
RR
Arizona(9/3/2013)
RR
Arkansas(9/3/2013)
RR
California(9/3/2013)
RR
Colorado(9/3/2013)
RR
Connecticut(9/3/2013)
RR
Delaware(9/3/2013)
RR
Florida(9/3/2013)
RR
Georgia(9/3/2013)
RR
Idaho(9/3/2013)
RR
Illinois(9/3/2013)
RR
Indiana(9/3/2013)
RR
Iowa(9/3/2013)
RR
Kansas(10/15/2013)
RR
Kentucky(9/3/2013)
RR
Maine(9/3/2013)
RR
Maryland(9/3/2013)
RR
Massachusetts(9/3/2013)
RR
Michigan(9/3/2013)
RR
Minnesota(9/3/2013)
RR
Mississippi(9/3/2013)
RR
Missouri(9/3/2013)
RR
Nevada(9/3/2013)
RR
New Hampshire(9/3/2013)
RR
New Jersey(9/3/2013)
RR
New Mexico(9/3/2013)
RR
New York(9/3/2013)
RR
North Carolina(9/3/2013)
RR
Ohio(9/3/2013)
IAR
Ohio(6/29/2023)
RR
Oklahoma(9/3/2013)
RR
Oregon(9/3/2013)
RR
Pennsylvania(9/3/2013)
RR
South Carolina(2/3/2016)
RR
South Dakota(9/3/2013)
RR
Tennessee(8/29/2024)
RR
Texas(9/3/2013)
IAR
Texas(6/29/2023)
RR
Utah(11/25/2013)
RR
Vermont(11/29/2023)
RR
Virginia(12/4/2013)
RR
Washington(9/3/2013)
RR
West Virginia(9/3/2013)
RR
Wisconsin(9/3/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Cincinnati, OH 45241TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
