Thomas E. Kimball
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.
Thomas Edmond Kimball, who also goes by Tom Kimball, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2009 - December 31, 2015
D.M. KELLY & COMPANY
March 2, 2009 - October 13, 2009
D.A. DAVIDSON & CO.
May 12, 1988 - February 27, 2009
RUAN SECURITIES CORPORATION
November 25, 1983 - May 4, 1988
DAIN RAUSCHER INCORPORATED
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
Current Firm
D.M. KELLY & COMPANY
CRD#: 38770 / SEC#: , 8-48398
Contact information
FINRA licenses (40 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIEL M KELLY 2004 TRUST, PATRICK B. KELLY TRUSTEE | NON-VOTING SHAREHOLDER | |
| HALLIWELL, KATHLEEN CRICHTON | CHIEF COMPLIANCE OFFICER, OSJ SUPERVISOR | |
| KELLY, DANIEL MICHAEL | PRESIDENT, VOTING SHAREHOLDER OF DANIEL M KELLY 2004 TRUST | 266912 |
| KELLY, PATRICK BENJAMIN | TRUSTEE OF DANIEL M KELLY 2004 TRUST | |
| LORBIECKI, DAVID PALMER | EXECUTIVE VICE PRESIDENT | 2357042 |
| SHIRES, KEVIN ALEXANDER | CHIEF FINANCIAL OFFICER, FINOP | 4974827 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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