Kevin W. Warman

INVESTMENT MANAGEMENT

Roanoke, VA 24018-1621

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CRD#: 5928763

Professional summary

Kevin William Warman, who also goes by Kevin Warman, is a registered financial advisor currently at INVESTMENT MANAGEMENT CORPORATION located in Roanoke, Virginia.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Kevin has worked at 2 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin Warman

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) - RIA

Click below to view Kevin William Warman'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

April 2, 2014 - Present

INVESTMENT MANAGEMENT CORPORATION

Office #1: 1940 Electric Rd, Roanoke, VA 24018-1621

RIA

CRD#: 107246

Roanoke, VA

Past

July 4, 2011 - December 31, 2013

EQUITY SERVICES, INC.

RIA

CRD#: 265

ROANOKE, VA

Past

June 14, 2011 - December 31, 2013

EQUITY SERVICES, INC.

CRD#: 265

ROANOKE, VA

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".

INVESTMENT MANAGEMENT CORPORATION

CRD#: 107246 / SEC#: 801-107457

RIA

Registered Investment Advisory firm - (3/25/2016 Approved)

New York

Registered Investment Advisory firm - (3/3/2023 Terminated)

Virginia

Registered Investment Advisory firm - (2/13/2017 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Virginia
(4/2/2014)

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: 7/2/2011

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 6/13/2011

General Securities Representative Examination

Current Firm

INVESTMENT MANAGEMENT CORPORATION

CRD#: 107246 / SEC#: 801-107457

RIA

Registered Investment Advisory firm - (3/25/2016 Approved)

New York

Registered Investment Advisory firm - (3/3/2023 Terminated)

Virginia

Registered Investment Advisory firm - (2/13/2017 Terminated)

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Contact information

Main Address

1940 Electric Rd, Roanoke, VA 24018-1621

Mailing Address

P.o. Box 20339, Roanoke, VA 24018-0511

Phone number

(540) 774-8899

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

INVESTMENT MANAGEMENT CORPORATION BROCHURE (3/27/2025)

INVESTMENT MANAGEMENT CORP-BROCHURE SUPP-HEIMEL (3/27/2025)

INVESTMENT MANAGEMENT CORPORATION BROCHURE SUPPLEMENT (3/27/2025)

Regulatory assets under management

Total Number of Accounts	616
AUM (Assets Under Management)	$ 169,572,084

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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Kevin W. Warman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin William Warman's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESTMENT MANAGEMENT CORPORATION

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

Primary Firm SEC Registration

INVESTMENT MANAGEMENT CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 7/2/2011

Series 7

Date: 6/13/2011

Current Firm

INVESTMENT MANAGEMENT CORPORATION

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INVESTMENT MANAGEMENT CORPORATION

TRUST BUT VERIFY

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