KF
Kim I. Fickett
ROBERT W. BAIRD & CO.
Portland Maine (ID), ME 04101
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CRD#: 3072569
KF
Professional summary
Kim Iris Fickett, who also goes by Kim I Fickett, Kim Iris Lavoie, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Portland Maine (id), Maine.
Kim is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Kim has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kim I Fickett | Kim Iris Lavoie
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.
Name/Address: Westbrook Music Boosters PO Box 1119 Westbrook ME 04092 Start Date: 4/1/23 Hours Spent: 0-5 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Board Member; President Non Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Kim Iris Fickett's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kim Iris Fickett'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
November 16, 2012 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 129 Middle St Ste #200, Portland Maine (id), ME 04101RIA
BD
CRD#: 8158
Portland Maine (ID), ME
Current
November 16, 2012 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 129 Middle St Ste #200, Portland Maine (id), ME 04101RIA
BD
CRD#: 8158
Portland Maine (ID), ME
Past
June 1, 2009 - November 20, 2012
MORGAN STANLEY
RIA
CRD#: 149777
PORTLAND, ME
Past
June 1, 2009 - November 20, 2012
MORGAN STANLEY
BD
CRD#: 149777
PORTLAND, ME
Past
June 7, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
PORTLAND, ME
Past
June 7, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
PORTLAND, ME
Past
August 19, 2002 - June 5, 2006
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
PORTLAND, ME
Past
June 22, 2000 - June 5, 2006
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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(11/19/2020)
RR
Alaska(8/19/2024)
RR
Arizona(11/30/2020)
RR
Arkansas(11/19/2020)
RR
California(11/20/2020)
RR
Colorado(11/20/2020)
RR
Connecticut(11/20/2020)
RR
Delaware(7/25/2024)
RR
District of Columbia(11/20/2020)
RR
Florida(11/20/2020)
RR
Georgia(11/23/2020)
RR
Hawaii(7/25/2024)
RR
Idaho(10/18/2021)
RR
Illinois(12/2/2020)
RR
Indiana(11/23/2020)
RR
Iowa(11/19/2020)
RR
Kansas(11/20/2020)
RR
Kentucky(7/25/2024)
RR
Louisiana(11/24/2020)
RR
Maine(11/16/2012)
IAR
Maine(11/16/2012)
RR
Maryland(11/19/2020)
RR
Massachusetts(11/20/2020)
RR
Michigan(11/23/2020)
RR
Minnesota(7/25/2024)
RR
Mississippi(8/19/2024)
RR
Missouri(7/25/2024)
RR
Montana(7/25/2024)
RR
Nebraska(8/19/2024)
RR
Nevada(12/1/2020)
RR
New Hampshire(11/19/2020)
RR
New Jersey(11/19/2020)
RR
New Mexico(11/19/2020)
RR
New York(11/19/2020)
RR
North Carolina(11/20/2020)
RR
North Dakota(8/19/2024)
RR
Ohio(11/19/2020)
RR
Oklahoma(1/6/2021)
RR
Oregon(11/30/2020)
RR
Pennsylvania(11/20/2020)
RR
Puerto Rico(8/19/2024)
RR
Rhode Island(11/19/2020)
RR
South Carolina(11/19/2020)
RR
South Dakota(11/23/2020)
RR
Tennessee(11/20/2020)
RR
Texas(11/19/2020)
RR
Utah(11/19/2020)
RR
Vermont(11/19/2020)
RR
Virgin Islands(8/19/2024)
RR
Virginia(11/20/2020)
RR
Washington(11/19/2020)
RR
West Virginia(7/25/2024)
RR
Wisconsin(11/20/2020)
RR
Wyoming(8/19/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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#: 8158Portland Maine (id), ME 04101TRUST BUT VERIFY
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