Kim A. Avery
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 Arnold Avery, who also goes by Kim Avery Straub, was a registered financial professional .
Kim is a previously registered financial professional and started their career in finance in 1983. Kim had worked at 5 firms and has passed the Series 63 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
May 28, 2003 - December 19, 2012
UHLMANN PRICE SECURITIES, LLC
January 2, 2002 - December 31, 2002
MONERE INVESTMENTS, INC.
September 20, 1997 - March 30, 2001
KENMAR SECURITIES, L.P.
July 7, 1986 - May 31, 1991
LAMBORN SECURITIES INCORPORATED
December 5, 1983 - January 28, 1986
BALFOUR, MCCLAINE 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
Current Firm
UHLMANN PRICE SECURITIES, LLC
CRD#: 42854 / SEC#: , 8-50041
Contact information
FINRA licenses (51 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
