Kim Brownlee
Professional Summary
Kim Brownlee, who also goes by Kim Allen, is a registered financial advisor currently at MISSIONSQUARE RETIREMENT located in Chicago, Illinois and MISSIONSQUARE WEALTH MANAGEMENT located in Washington, District Of Columbia. Kim is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Kim has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kim Allen
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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
27 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
ICMA RETIREMENT CORP | MISSIONSQUARE RETIREMENT | INTERNATIONAL CITY MGMT ASSOCIATION RETIREMEN | INTERNATIONAL CITY MANAGEMENT ASSOCIATION RETIREMENT CORPORATION | ICMA-RC | ICMA RETIREMENT CORPORATION
Contact Information
Main Address
777 North Capitol Street Ne, Suite 600, Washington, DC 20002-4240Phone Number
(202) 962-4600# of Employees
553SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
53,695AUM (Assets Under Management)
$6,308,216,088Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | Cover Page | Report |
| 01/27/2025 | Cover Page | Report |
| 10/27/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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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Primary Firm SEC Registration
ICMA RETIREMENT CORP | MISSIONSQUARE RETIREMENT | INTERNATIONAL CITY MGMT ASSOCIATION RETIREMEN | INTERNATIONAL CITY MANAGEMENT ASSOCIATION RETIREMENT CORPORATION | ICMA-RC | ICMA RETIREMENT CORPORATION
State Registrations and Notice Filings
(7/30/2007)
(10/28/2009)
(12/2/2024)
(12/2/2024)
(12/2/2024)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
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 Jun 1999About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Kim Brownlee's CRS (Customer Relationship Summary).
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