Kimberly P. Zimmerman
Professional summary
Kimberly Patrice Zimmerman, who also goes by Kim Spence, Kimberly Patrice Spence, is a registered financial professional currently at FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.
Kimberly is registered as a RR (Registered Representative) and started their career in finance in 1987. Kimberly has worked at 4 firms and has passed the Series 63, Series 52TO, Series 57TO, SIE, Series 55, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kimberly Patrice Zimmerman's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 26, 2005 - Present
FIRST TRUST PORTFOLIOS L.P.
Office #1: 120 E. Liberty Drive Suite 400, Wheaton, IL 60187December 11, 1998 - July 1, 2005
RBC CAPITAL MARKETS, LLC
November 25, 1991 - October 19, 1998
FIRST TRUST PORTFOLIOS L.P.
May 2, 1991 - October 1, 1991
CLAYTON BROWN & ASSOCIATES, INC.
August 15, 1989 - March 12, 1991
WILLIAM BLAIR
November 25, 1987 - June 26, 1989
CLAYTON BROWN & ASSOCIATES, 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
(7/26/2005)
(7/26/2005)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/14/2001
Limited Representative-Equity Trader ExamFINRA
Current Firm
FIRST TRUST PORTFOLIOS L.P.
CRD#: 28519 / SEC#: , 8-43843
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRACE PARTNERS OF DUPAGE L.P. | LIMITED PARTNER | |
| BOWEN, JAMES ALLEN | CHIEF EXECUTIVE OFFICER | 1123316 |
| BOWEN, MARISA ANN | MANAGING DIRECTOR | 1949032 |
| DYKAS, JAMES MARTIN | CHIEF FINANCIAL OFFICER / MANAGING DIRECTOR | 2264809 |
| JACKSON, ERIK SOREN | CHIEF COMPLIANCE OFFICER | 2950559 |
| JARDINE, WILLIAM SCOTT | GENERAL COUNSEL | 2609233 |
| MCGAREL, DAVID GERARD | CHIEF OPERATING OFFICER | 2945880 |
| MCGAREL, DAVID GERARD | MANAGING DIRECTOR | 2945880 |
| ROGGENSACK, ANDREW SCOTT | PRESIDENT | 1582059 |
| THE CHARGER CORPORATION | GENERAL PARTNER |
Disclosures
| Regulatory Event | 4 |
Red Flags
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