Kim E. Stout
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 Eileen Stout, who also goes by Kim Eileen Kavanagh, was a registered financial professional .
Kim is a previously registered financial professional and started their career in finance in 1993. Kim had worked at 5 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2007 - December 31, 2012
FRANKLIN DISTRIBUTORS, LLC
July 20, 1999 - December 16, 2005
CITIGROUP GLOBAL MARKETS INC.
April 30, 1998 - July 22, 1999
CITICORP INVESTMENT SERVICES
January 10, 1994 - May 14, 1996
TRANSAMERICA INVESTORS SECURITIES, LLC
September 13, 1993 - January 10, 1994
MONY SECURITIES CORPORATION
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
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
