Kimberley S. Proffitt

CETERA INVESTMENT ADVISERS LLC

TULSA, OK 74119

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CRD#: 4434396

Professional summary

Kimberley Sue Proffitt, who also goes by Kimberly Sue Michels, Kimberly S Proffitt, Kimberly S Raus, Kimberly S Swopes, Kimberley Sue Swopes, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Tulsa, Oklahoma and CETERA WEALTH SERVICES, LLC located in Tulsa, Oklahoma.

Kimberley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Kimberley has worked at 7 firms and has passed the Series 66, Series 82TO, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kimberly Sue Michels | Kimberly S Proffitt | Kimberly S Raus | Kimberly S Swopes | Kimberley Sue Swopes

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) LOAVES AND FISHES POSITION: Advisory Board NATURE: Volunteer/Community Outreach INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2018 ADDRESS: 11321 E. 19th Street, Tulsa OK 74128, United States DESCRIPTION: Food Pantry/Retail Thrift Store which supports the food pantry. 2) NAME OF OTHER BUSINESS: GUIDE WEALTH PARTNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 08/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 35.5; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3) NAME OF OTHER BUSINESS: SUCCESSOR TRUSTEE FOR FRIENDS TRUST; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TRUST ; START DATE 06/2025:; POSITION/TITLE/RELATIONSHIP: SUCCESSOR TRUSTEE; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS 0:; BRIEF DESCRIPTION OF DUTIES: NO CURRENT DUTIES, WILL HAVE POWERS AS STATED IN TRUST IF INSTALLED;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kimberley Sue Proffitt's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 10, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1616 S Main St, Tulsa, OK 74119

RIA

CRD#: 105644

TULSA, OK

Current

August 10, 2023 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1616 South Main Street, Tulsa, OK 74119

CRD#: 13572

Tulsa, OK

Past

November 16, 2021 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

TULSA, OK

Past

November 16, 2021 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

TULSA, OK

Past

May 4, 2017 - October 19, 2021

BOK FINANCIAL SECURITIES, INC.

RIA

CRD#: 17530

TULSA, OK

Past

May 4, 2017 - October 19, 2021

BOK FINANCIAL SECURITIES, INC.

CRD#: 17530

TULSA, OK

Past

November 18, 2015 - April 19, 2017

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

TULSA, OK

Past

November 3, 2009 - May 18, 2015

BOK FINANCIAL SECURITIES, INC.

RIA

CRD#: 17530

TULSA, OK

Past

November 3, 2009 - May 18, 2015

BOK FINANCIAL SECURITIES, INC.

CRD#: 17530

TULSA, OK

Past

February 5, 2007 - February 4, 2008

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

TULSA, OK

Past

December 8, 2006 - February 4, 2008

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

TULSA, OK

Past

June 29, 2004 - December 31, 2004

GENEOS WEALTH MANAGEMENT, INC.

CRD#: 120894

ENGLEWOOD, CO

Past

May 14, 2002 - March 26, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Oklahoma
(8/10/2023)

IAR

Oklahoma
(8/10/2023)

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

State Security Law Exam

IAR

Series 66

Date: 2/1/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 82TO

Date: 1/2/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/13/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 11/12/2020

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/9/2018

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Kimberley S. Proffitt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kimberley Sue Proffitt's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

BOK FINANCIAL SECURITIES, INC.

BOK FINANCIAL SECURITIES, INC.

SECURIAN FINANCIAL SERVICES, INC.

BOK FINANCIAL SECURITIES, INC.

BOK FINANCIAL SECURITIES, INC.

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

GENEOS WEALTH MANAGEMENT, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/1/2007

Series 82TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/13/2002

Series 53

Date: 11/12/2020

Series 24

Date: 10/9/2018

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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