KIM CORNWELL
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CRD#: 868361
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.
KIM CORNWELL, CFP®, who also goes by Kim Fawcett, Kim Hershey, Kim C Owen, Kim Cornwell Owen, Kim Owen, was a registered financial professional .
KIM is a previously registered financial professional and started their career in finance in 1986. KIM had worked at 14 firms and has passed the Series 65, Series 63, Series 7, Series 1 and Series 24 exams.
Biography
Kim joined CAPTRUST from South Texas Money Management in 2019. She serves as a senior vice president and financial advisor responsible for providing comprehensive wealth management to high-net-worth investors and corporate executives. Kim has over 25 years of experience working with clients in the areas of investments, retirement, executive and employee benefits, taxation, trusts, estates, and risk management.
Prior to joining the firm, Kim served as a senior vice president and relationship manager at South Texas Money Management. Before that she held the position of vice president of the Trust Company, and prior to this she was a director in the financial advice center at USAA. During her career she has established retirement plans for organizations and individuals, including 401(k), 403(b), and 457 plans. In addition, she has developed and presented financial seminars and workshops for individuals, employees, and executives.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kim Fawcett | Kim Hershey | Kim C Owen | Kim Cornwell Owen | Kim Owen
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.
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®
CFP®
Start date: 1987
Education
Texas Tech University
Experience
Past
October 3, 2019 - August 5, 2025
CAPTRUST
RIA
CRD#: 175112
San Antonio, TX
Past
September 5, 2013 - December 2, 2019
SOUTH TEXAS MONEY MANAGEMENT, LTD.
RIA
CRD#: 112188
SAN ANTONIO, TX
Past
December 5, 2012 - August 20, 2013
M. E. ALLISON & CO., INC.
BD
CRD#: 1047
SAN ANTONIO, TX
Past
June 29, 2012 - August 20, 2013
M. E. ALLISON & CO., INC.
RIA
CRD#: 1047
SAN ANTONIO, TX
Past
August 6, 2009 - July 9, 2010
AUSTIN CALVERT & FLAVIN INC
RIA
CRD#: 107301
NASHVILLE, TN
Past
January 9, 2008 - January 2, 2013
PRESIDIO FINANCIAL SERVICES, INC.
BD
CRD#: 10010
SAN ANTONIO, TX
Past
January 9, 2004 - September 11, 2007
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
PHOENIX, AZ
Past
December 12, 2003 - September 11, 2007
USAA FINANCIAL PLANNING SERVICES
RIA
CRD#: 106352
PHOENIX, AZ
Past
January 15, 2003 - November 24, 2003
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
WAVERLY, IA
Past
September 15, 1998 - December 10, 2002
NATHAN & LEWIS SECURITIES, INC.
RIA
CRD#: 8503
CORNING, NY
Past
September 15, 1998 - December 10, 2002
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
September 4, 1998 - September 16, 1998
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
Past
November 30, 1994 - September 4, 1998
ESSEX CAPITAL MARKETS, INC.
BD
CRD#: 11896
ROCHESTER, NY
Past
June 26, 1989 - October 27, 1994
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
Past
May 26, 1987 - October 7, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
May 22, 1986 - June 2, 1987
PENNINGTON/BASS EQUITIES, INC.
BD
CRD#: 13765
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".
CA
CAPTRUST
1776 ADVISOR GROUP | WINDSOR FINANCIAL GROUP | WELCH HORNSBY, INC. | WEALTH COVENANT GROUP LLC | WATERMARK ASSET MANAGEMENT, INC. | TRUTINA FINANCIAL | TRUSTCORE FINANCIAL SERVICES, LLC | TRUNORTH WEALTH PARTNERS, LLC | THE JOHNSTON GROUP | STRATEGIC ADVISOR GROUP | STEWARDSHIP FINANCIAL ADVISORS, LLC | SOUTHERN WEALTH MANAGEMENT LLP | SOUTH TEXAS MONEY MANAGEMENT, LTD. | SHINE WEALTH PARTNERS | RINET COMPANY, LLC | REYNOLDS INVESTMENT MANAGEMENT INC | QUANTITATIVE ADVANTAGE, LLC | PWA WEALTH MANAGEMENT | PORTFOLIO EVALUATIONS, INC. | PARKER, CARLON & JOHNSON, INC. | OMEGA WEALTH PARTNERS, INC. | NEW MARKET WEALTH MANAGEMENT, LLC | NACHMAN NORWOOD & PARROTT, INC. | MRA ASSOCIATES | MORTON WEALTH MANAGEMENT LLC | MONROE VOS CONSULTING, INC. | MCQUEEN BALL & ASSOCIATES LLC | LAKESIDE WEALTH MANAGEMENT GROUP, LLC. | KNOX CAPITAL ADVISORS LLC | KAIROS PRIVATE WEALTH, INC | J.H. ELLWOOD & ASSOCIATES, INC. (ELLWOOD) | INTRUST FIDUCIARY GROUP | GENOVESE BURFORD & BROTHERS WEALTH AND RETIREMENT PLAN MGMT, LLC | FRONTIER WEALTH MANAGEMENT, LLC | FREEDOM 401K | FOUNTAIN FINANCIAL ASSOCIATES, INC. | FCE GROUP | FAMILY OFFICE RISK ADVISORS | ENGRAVE WEALTH PARTNERS LLC | DEFINED CONTRIBUTION ADVISORS INC OR DCADVISORS | DAVIDSON & GARRARD INC | DANDA TROUVE INVESTMENT MANAGEMENT, INC. | CRESCENT CAPITAL CONSULTING, LLC | COVENANT MULTI-FAMILY OFFICES, LLC (COVENANT) | CORNERSTONE CAPITAL ADVISORS | COLUMN CAPITAL ADVISORS, LLC | COBBLESTONE CAPITAL ADVISORS, LLC. | CATAWBA CAPITAL MANAGEMENT INC | CAROLINAS WEALTH CONSULTING LLC | CAPTRUST FINANCIAL ADVISORS | CAPTRUST ADVISORS LLC | CAPTRUST | CAPFINANCIAL PARTNERS, LLC | CAMPBELL WEALTH MANAGEMENT, INC. | CAMMACK RETIREMENT ADVISORS, LLC | BOSTON FINANCIAL MANAGEMENT LLC | AEVITAS WEALTH MANAGEMENT, INC.
CRD#: 175112 / SEC#: 801-62193
RIA
Registered Investment Advisory firm - (7/11/2003 Approved)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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 6/22/1979
Registered Representative ExaminationPrincipal/Supervisory Exam
Current Firm
CA
CAPTRUST
1776 ADVISOR GROUP | WINDSOR FINANCIAL GROUP | WELCH HORNSBY, INC. | WEALTH COVENANT GROUP LLC | WATERMARK ASSET MANAGEMENT, INC. | TRUTINA FINANCIAL | TRUSTCORE FINANCIAL SERVICES, LLC | TRUNORTH WEALTH PARTNERS, LLC | THE JOHNSTON GROUP | STRATEGIC ADVISOR GROUP | STEWARDSHIP FINANCIAL ADVISORS, LLC | SOUTHERN WEALTH MANAGEMENT LLP | SOUTH TEXAS MONEY MANAGEMENT, LTD. | SHINE WEALTH PARTNERS | RINET COMPANY, LLC | REYNOLDS INVESTMENT MANAGEMENT INC | QUANTITATIVE ADVANTAGE, LLC | PWA WEALTH MANAGEMENT | PORTFOLIO EVALUATIONS, INC. | PARKER, CARLON & JOHNSON, INC. | OMEGA WEALTH PARTNERS, INC. | NEW MARKET WEALTH MANAGEMENT, LLC | NACHMAN NORWOOD & PARROTT, INC. | MRA ASSOCIATES | MORTON WEALTH MANAGEMENT LLC | MONROE VOS CONSULTING, INC. | MCQUEEN BALL & ASSOCIATES LLC | LAKESIDE WEALTH MANAGEMENT GROUP, LLC. | KNOX CAPITAL ADVISORS LLC | KAIROS PRIVATE WEALTH, INC | J.H. ELLWOOD & ASSOCIATES, INC. (ELLWOOD) | INTRUST FIDUCIARY GROUP | GENOVESE BURFORD & BROTHERS WEALTH AND RETIREMENT PLAN MGMT, LLC | FRONTIER WEALTH MANAGEMENT, LLC | FREEDOM 401K | FOUNTAIN FINANCIAL ASSOCIATES, INC. | FCE GROUP | FAMILY OFFICE RISK ADVISORS | ENGRAVE WEALTH PARTNERS LLC | DEFINED CONTRIBUTION ADVISORS INC OR DCADVISORS | DAVIDSON & GARRARD INC | DANDA TROUVE INVESTMENT MANAGEMENT, INC. | CRESCENT CAPITAL CONSULTING, LLC | COVENANT MULTI-FAMILY OFFICES, LLC (COVENANT) | CORNERSTONE CAPITAL ADVISORS | COLUMN CAPITAL ADVISORS, LLC | COBBLESTONE CAPITAL ADVISORS, LLC. | CATAWBA CAPITAL MANAGEMENT INC | CAROLINAS WEALTH CONSULTING LLC | CAPTRUST FINANCIAL ADVISORS | CAPTRUST ADVISORS LLC | CAPTRUST | CAPFINANCIAL PARTNERS, LLC | CAMPBELL WEALTH MANAGEMENT, INC. | CAMMACK RETIREMENT ADVISORS, LLC | BOSTON FINANCIAL MANAGEMENT LLC | AEVITAS WEALTH MANAGEMENT, INC.
CRD#: 175112 / SEC#: 801-62193
RIA
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Contact information
Main Address
4208 Six Forks Rd Suite 1700, Raleigh, NC 27609
Mailing Address
Phone number
(919) 870-6822
Established
Firm type
Fiscal year end
# of Employees
1,723
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 127,387 |
| AUM (Assets Under Management) | $ 1,083,051,008,644 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/17/2025 | ||
| 10/25/2024 | ||
| 01/24/2024 | ||
| 01/03/2023 |
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.
