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KR

Kim Rothschild

FIRST LIBERTIES FINANCIAL
TAMPA, FL 33602
Some features on this profile are disabled
CRD#: 1461411
KR

Professional summary

Kim Rothschild is a registered financial professional currently at FIRST LIBERTIES FINANCIAL located in Tampa, Florida.

Kim is registered as a RR (Registered Representative) and started their career in finance in 1986. Kim has worked at 11 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Kim Rothschild's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

August 3, 2012 - Present

FIRST LIBERTIES FINANCIAL

Office #1: 2915 N. Boulevard Suite A, Tampa, FL 33602
BD
CRD#: 14432
TAMPA, FL
Past

October 4, 2011 - August 1, 2012

ALLIED BEACON PARTNERS, INC.

BD
CRD#: 46227
ORO VALLEY, AZ
Past

November 2, 2004 - September 30, 2011

WORKMAN SECURITIES CORPORATION

BD
CRD#: 31898
ORO VALLEY, AZ
Past

April 6, 2004 - November 3, 2004

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
SAN JUAN CAPISTRANO, CA
Past

November 5, 1999 - June 30, 2004

FIRST SECURITIES USA, INC.

BD
CRD#: 39986
IRVINE, CA
Past

March 9, 1994 - November 5, 1999

FIRST ASSOCIATED SECURITIES GROUP, INC.

BD
CRD#: 20597
CHICO, CA
Past

January 2, 1992 - March 18, 1994

FIRST AFFILIATED SECURITIES

BD
CRD#: 23737
LA JOLLA, CA
Past

August 17, 1990 - January 1, 1992

LAWSON FINANCIAL CORPORATION

BD
CRD#: 15261
PHOENIX, AZ
Past

November 5, 1987 - September 7, 1990

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN
Past

February 3, 1987 - November 13, 1987

THE SAXON GROUP, INC.

BD
CRD#: 17611
Past

July 23, 1986 - January 8, 1987

ADVANTAGE CAPITAL CORPORATION

BD
CRD#: 146

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(8/3/2012)
RR
Minnesota
(12/11/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 5/22/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/22/1986
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FL
FIRST LIBERTIES FINANCIAL
FIRST LIBERTIES FINANCIAL | FIRST LIBERTIES SECURITIES,INC. | FIRST LIBERTIES SECURITIES, INC.

CRD#: 14432 / SEC#: , 8-30673

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
2915 N. Boulevard Suite A, Tampa, FL 33602
Mailing Address
2915 N. Boulevard Suite A, Tampa, FL 33602
Phone number
(917) 639-5451
Established
New York since 10/12/1983
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PELION FINANCIAL GROUP, INC.OWNER
BERGMAN, HILARY GUYDIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER1834738

Disclosures

Regulatory Event2

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

FIRST LIBERTIES FINANCIAL

CRD#: 14432Tampa, FL 33602

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