KM
Kevin R. Mcwhorter
ROBERT W. BAIRD & CO.
Wichita, KS 67206
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CRD#: 501708
KM
Professional summary
Kevin Ray Mcwhorter is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Wichita, Kansas.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Kevin has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, Series 52TO, SIE, PC, Series 53 and Series 40 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) SEDGWICK COUNTY USD #265 GODDARD; INVESTMENT-RELATED; 201 S. MAIN, GODDARD, KS 67052; EDUCATIONAL; BOARD MEMBER; START DATE: 7/1/2005; APPX HRS/MONTH: VARIABLE; HRS DURING TRADING: VARIABLE; TYPICAL OVERSIGHT OF A SCHOOL DISTRICT
2)BREEZY LAKE HOMEOWNERS ASSOCIATION; NOT INVESTMENT RELATED; WICHITA, KS; HOMEOWNERS ASSOCIATION; SECRETARY; START DATE 11/2012; 3 HRS PER MONTH.
3)WICHITA, KANSAS LIBRARY BOARD MEMBER AND WICHITA LIBRARY FOUNDATION MEMBER. NOT INVESTMENT RELATED.200 S. MAIN, WICHITA, KANSAS, 67202. WORKS VARIOUS HOURS PER MONTH AND VARIOUS DURING SECURITIES TRADING HOURS.
4) Name: Kelly Rogers Gubernatorial Inauguration Committee 300 W. 10th Avenue Topeka, KS 66612
Type: Municipal/Government Entity
Investment related: No
Role: Treasurer
Start: 12/2018
Hours: 1 hour/month, none during market hours.
Responsibilities: Review campaign finance reports before submission
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Ray Mcwhorter's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kevin Ray Mcwhorter'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
June 11, 2015 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 8535 East 21st Street N Suite 125, Wichita, KS 67206RIA
BD
CRD#: 8158
Wichita, KS
Current
June 11, 2015 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 8535 East 21st Street N Suite 125, Wichita, KS 67206RIA
BD
CRD#: 8158
Wichita, KS
Past
January 1, 2008 - June 12, 2015
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WICHITA, KS
Past
January 1, 2008 - June 12, 2015
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WICHITA, KS
Past
August 15, 2005 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
WICHITA, KS
Past
April 6, 1988 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
WICHITA, KS
Past
June 5, 1979 - April 5, 1988
UNITED SECURITIES, INC.
BD
CRD#: 7010
Past
August 31, 1977 - July 4, 1979
DICKINSON & CO.
BD
CRD#: 689
Past
May 3, 1977 - September 1, 1977
LSCO SECURITIES INC.
BD
CRD#: 2515
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
Arizona(6/11/2015)
RR
Arkansas(6/11/2015)
RR
California(6/11/2015)
RR
Colorado(6/11/2015)
RR
District of Columbia(7/7/2020)
RR
Florida(6/11/2015)
IAR
Florida(9/17/2018)
RR
Idaho(6/11/2015)
RR
Illinois(6/11/2015)
RR
Iowa(6/11/2015)
RR
Kansas(6/11/2015)
IAR
Kansas(6/11/2015)
RR
Massachusetts(6/11/2015)
RR
Michigan(6/11/2015)
RR
Missouri(6/11/2015)
RR
Nevada(2/2/2021)
RR
New Hampshire(6/11/2015)
RR
New Mexico(6/28/2022)
RR
North Carolina(7/8/2020)
RR
Ohio(6/11/2015)
RR
Oklahoma(6/11/2015)
RR
Oregon(1/14/2019)
RR
Tennessee(9/26/2019)
RR
Texas(6/11/2015)
RR
Utah(6/11/2015)
RR
Virginia(6/11/2015)
RR
Wisconsin(6/26/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 1/29/1996
AMEX Put and Call ExamPrincipal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 40
Date: 5/3/1977
Registered Principal ExaminationSRO 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#: 8158Wichita, KS 67206TRUST BUT VERIFY
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