Kimberly D. Overman
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 2001 - February 26, 2002
EAINVEST SECURITIES, INC.
June 23, 1999 - December 3, 1999
DALE K. EHRHART, INC.
May 6, 1999 - December 31, 2019
THE FINANCIAL WELL, INC.
January 6, 1997 - February 16, 1998
GODWINS SECURITIES, INC.
March 28, 1996 - May 15, 1997
AON SECURITIES LLC
August 18, 1995 - March 29, 1996
FORTH FINANCIAL SECURITIES, CORPORATION
April 6, 1995 - October 11, 1995
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 1, 1995 - March 8, 1995
STEPHENS
October 12, 1990 - November 8, 1994
INVEST FINANCIAL CORPORATION
August 12, 1986 - October 1, 1990
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 19, 1986 - August 19, 1986
FSC 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
Series 2
Date: 3/6/1990
Non-Member General Securities ExaminationCurrent Firm
EAINVEST SECURITIES, INC.
CRD#: 104370 / SEC#: , 8-52833
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BENEFITSTREET, INC. | OWNER | |
| LUCAS, NADINE YVONNE | PRESIDENT/CCO/SECRETARY/TREASURER | 869124 |
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.
