Kimberly J. Mathews

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CRD#: 4294797

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kimberly J Mathews, who also goes by Kimberly Jo Mathews, Kim Schmittgens, Kimberly Jo Schmittgens, was a registered financial professional .

Kimberly is a previously registered financial professional and started their career in finance in 2001. Kimberly had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kimberly Jo Mathews | Kim Schmittgens | Kimberly Jo Schmittgens

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 17, 2015 - December 21, 2015

SEVERIN INVESTMENTS LLC

RIA

CRD#: 166567

Creve Coeur, MO

Past

December 8, 2015 - December 22, 2015

LPL FINANCIAL LLC

CRD#: 6413

CREVE COUER, MO

Past

September 16, 2014 - November 11, 2015

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

CRESTWOOD, MO

Past

February 11, 2014 - November 11, 2015

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

CRESTWOOD, MO

Past

October 15, 2012 - December 17, 2013

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

CHESTERFIELD, MO

Past

September 17, 2008 - January 31, 2011

SUNSET FINANCIAL SERVICES, INC.

CRD#: 3538

KANSAS CITY, MO

Past

November 22, 2005 - March 12, 2008

ONEAMERICA SECURITIES, INC.

CRD#: 4173

ST LOUIS, MO

Past

November 13, 2002 - February 3, 2004

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CHESTERFIELD, MO

Past

February 6, 2001 - February 3, 2004

UBS FINANCIAL SERVICES INC.

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".

SEVERIN INVESTMENTS LLC

ECC FINANCIAL | SEVERIN INVESTMENTS LLC | SEVERIN FINANCIAL GROUP, INC. | SEVERIN ASSET MANAGEMENT

CRD#: 166567 / SEC#: 801-118181

RIA

Registered Investment Advisory firm - (3/9/2020 Approved)

California

Registered Investment Advisory firm - (4/9/2020 Terminated)

Illinois

Registered Investment Advisory firm - (3/9/2020 Terminated)

Missouri

Registered Investment Advisory firm - (3/10/2020 Terminated)

Texas

Registered Investment Advisory firm - (3/10/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/31/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/22/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/5/2001

General Securities Representative Examination

Current Firm

SEVERIN INVESTMENTS LLC

ECC FINANCIAL | SEVERIN INVESTMENTS LLC | SEVERIN FINANCIAL GROUP, INC. | SEVERIN ASSET MANAGEMENT

CRD#: 166567 / SEC#: 801-118181

RIA

Registered Investment Advisory firm - (3/9/2020 Approved)

California

Registered Investment Advisory firm - (4/9/2020 Terminated)

Illinois

Registered Investment Advisory firm - (3/9/2020 Terminated)

Missouri

Registered Investment Advisory firm - (3/10/2020 Terminated)

Texas

Registered Investment Advisory firm - (3/10/2020 Terminated)

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Contact information

Main Address

211 North Broadway Suite 2925, St. Louis, MO 63102

Mailing Address

Phone number

(314) 983-2707

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SEVERIN INVESTMENTS WRAP FEE PROGRAM BROCHURE (3/11/2025)

FIRM BROCHURE: SEVERIN INVESTMENTS LLC (3/11/2025)

Regulatory assets under management

Total Number of Accounts	561
AUM (Assets Under Management)	$ 127,648,000

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.

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Firm Stability Insights

Kimberly J. Mathews

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

SUMMIT BROKERAGE SERVICES, INC.

SUNSET FINANCIAL SERVICES, INC.

ONEAMERICA SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

SEVERIN INVESTMENTS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/31/2014

SIE

Date: 12/22/2015

Series 7

Date: 2/5/2001

Current Firm

SEVERIN INVESTMENTS LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SEVERIN INVESTMENTS LLC

TRUST BUT VERIFY

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