Kim Rawlings, financial advisor Swansea IL
83 score

Kim Rawlings

CRD Number: 1035812
Current Firm: Raymond James & Associates, Inc.

Kim Rawlings (CRD# 1035812) is an Investment Advisor Representative working at Raymond James & Associates, Inc. in Swansea, IL and has over 34 years of experience in the finance industry.

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Company Name Location Dates Years
Raymond James & Associates, Inc. Swansea, IL Feb 2013 - Current 3
Morgan Keegan Company & Inc. Swansea, IL Jul 2009 - Feb 2013 3
Wachovia Securities, LLC Fairview Heights, IL Jan 2008 - Jul 2009 1
A.g. Edwards & Sons, Inc. Belleville, IL Oct 1994 - Jan 2008 13
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1982
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Kim M. Rawlings
Phone Number: 727-567-1000
Registered State(s):
  • IL
By the Numbers
  • Total Assets Under Management
    91,401
    MILLIONS
  • Total Number of Accounts
    317,837
    ACCOUNTS
  • Average Account Value
    $287,573
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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