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Kimberly D. Overman

Some features on this profile are disabled
CRD#: 1360183
KO

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 Dianne Overman, who also goes by Kimberly Ellis, was a registered financial professional .

Kimberly is a previously registered financial professional and started their career in finance in 1986. Kimberly had worked at 10 firms and has passed the Series 63, Series 2 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kimberly Ellis

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 28, 2001 - February 26, 2002

EAINVEST SECURITIES, INC.

BD
CRD#: 104370
SAN RAMON, CA
Past

June 23, 1999 - December 3, 1999

DALE K. EHRHART, INC.

BD
CRD#: 35971
VENICE, FL
Past

May 6, 1999 - December 31, 2019

THE FINANCIAL WELL, INC.

RIA
CRD#: 112218
TAMPA, FL
Past

January 6, 1997 - February 16, 1998

GODWINS SECURITIES, INC.

BD
CRD#: 31019
SEATTLE, WA
Past

March 28, 1996 - May 15, 1997

AON SECURITIES LLC

BD
CRD#: 4138
CHICAGO, IL
Past

August 18, 1995 - March 29, 1996

FORTH FINANCIAL SECURITIES, CORPORATION

BD
CRD#: 14363
RICHMOND, VA
Past

April 6, 1995 - October 11, 1995

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

January 1, 1995 - March 8, 1995

STEPHENS

BD
CRD#: 3496
LITTLE ROCK, AR
Past

October 12, 1990 - November 8, 1994

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
APPLETON, WI
Past

August 12, 1986 - October 1, 1990

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

March 19, 1986 - August 19, 1986

FSC SECURITIES CORPORATION

BD
CRD#: 7461

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/28/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 2
Date: 3/6/1990
Non-Member General Securities Examination
General Industry/Product Exam
RR
Series 7
Date: 3/15/1986
General Securities Representative Examination

Current Firm

ES
EAINVEST SECURITIES, INC.
EA INVEST SECURITIES, INC. | EAINVEST SECURITIES, INC. | EA INVEST, INC. | EA INVEST, INC

CRD#: 104370 / SEC#: , 8-52833

BD
Terminated by SEC on 07/05/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/31/2000
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BENEFITSTREET, INC.OWNER
LUCAS, NADINE YVONNEPRESIDENT/CCO/SECRETARY/TREASURER869124

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.

Company Information

EAINVEST SECURITIES, INC.

CRD#: 104370

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