Kim L. Sinder
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 Lupinski Sinder, who also goes by Kim Lupinski, was a registered financial professional .
Kim is a previously registered financial professional and started their career in finance in 1982. Kim had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2014 - February 2, 2016
ALPS DISTRIBUTORS, INC.
January 18, 2012 - July 18, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 22, 2010 - January 25, 2012
ESSEX NATIONAL SECURITIES, LLC
January 15, 2009 - October 14, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 22, 2002 - January 17, 2008
BLACKROCK EXECUTION SERVICES
October 10, 2000 - November 1, 2001
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
January 29, 1997 - September 21, 2000
STEPHENS
July 1, 1996 - January 15, 1997
CRISPIN KOEHLER SECURITIES
August 13, 1991 - August 2, 1996
PLM SECURITIES CORP.
October 31, 1990 - June 7, 1991
NEWCOMB AND COMPANY
April 24, 1990 - October 17, 1990
ALERT EQUITY CORPORATION
October 5, 1987 - January 4, 1990
PLM SECURITIES CORP.
June 1, 1982 - September 25, 1987
PHOENIX SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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