Kimberley A. Macmillan
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.
Kimberley Allison Macmillan, who also goes by Kimberly Allison Johnson, was a registered financial professional .
Kimberley is a previously registered financial professional and started their career in finance in 1982. Kimberley had worked at 7 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2017 - February 1, 2023
HERBERT J. SIMS & CO, INC.
April 4, 2016 - October 10, 2017
P.R. GILBOY & ASSOCIATES, INC.
October 1, 1999 - February 8, 2016
WELLS FARGO CLEARING SERVICES, LLC
February 19, 1997 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
February 10, 1988 - February 27, 1997
BOWLES HOLLOWELL CONNER & CO.
August 18, 1986 - April 15, 1987
CORBY CAPITAL MARKETS, INC.
February 25, 1982 - August 23, 1986
SCOTT & STRINGFELLOW, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
HERBERT J. SIMS & CO, INC.
CRD#: 3420 / SEC#: , 8-3315
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEKSYS CORPORATION | OWNER | |
| DIAMOND, JASON HOWARD | CHIEF FINANCIAL OFFICER/MANAGING PRINCIPAL | 2320884 |
| RULNICK, AARON M | DIRECTOR | 3149315 |
| HEBERT, VALERIE | CHIEF COMPLIANCE OFFICER | 4007252 |
| MULLANE, DANIEL JOSEPH | MANAGING PRINCIPAL | 1246435 |
| SANDS, R JEFFREY | DIRECTOR | 4285040 |
| SIMS, WILLIAM BARNETT | PRESIDENT/CEO | 425019 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
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