Kimberly A. Steel
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.
Kimberly Ann Steel, who also goes by Kim Steel, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 1983. Kimberly had worked at 9 firms and has passed the Series 63, Series 7 and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2008 - June 11, 2012
TERRANOVA CAPITAL EQUITIES, INC
August 3, 2006 - January 14, 2008
URCHIN CAPITAL PARTNERS, LLC
July 13, 2000 - November 16, 2001
GEM ADVISORS, INC.
June 30, 1998 - July 17, 2000
GUGGENHEIM SECURITIES, LLC
January 1, 1997 - July 8, 1998
FINANCIAL ASSET MANAGEMENT, INC.
March 27, 1995 - October 22, 1996
MERIT CAPITAL ASSOCIATES, INC.
July 21, 1988 - March 1, 1995
PRUDENTIAL EQUITY GROUP, LLC
November 7, 1985 - March 15, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 22, 1983 - September 13, 1985
SALOMON BROTHERS 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 5
Date: 12/8/1983
Interest Rate Options ExaminationCurrent Firm
TERRANOVA CAPITAL EQUITIES, INC
CRD#: 45097 / SEC#: , 8-50973
Contact information
FINRA licenses (39 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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