Kimberly E. Dieska
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 Ellen Dieska, who also goes by Kim Dieska, Kimberly Dieska Telfer, Kimberly Telfer, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 1986. Kimberly had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2013 - January 11, 2016
WESTERN INTERNATIONAL SECURITIES, INC.
February 29, 2008 - December 31, 2010
WESTERN INTERNATIONAL SECURITIES, INC.
February 29, 2008 - January 11, 2016
WESTERN INTERNATIONAL SECURITIES, INC.
January 22, 2004 - February 17, 2005
NRP FINANCIAL, INC.
January 21, 2004 - March 3, 2008
NRP FINANCIAL, INC.
March 21, 2003 - March 7, 2013
DIESKA KIM INC
January 22, 2003 - December 31, 2009
DIESKA KIM INC
September 29, 2000 - February 18, 2004
FIRST ALLIED SECURITIES, INC.
December 12, 1997 - December 31, 2002
DIESKA KIM INC
July 9, 1993 - October 25, 2000
D.E. FREY & COMPANY, INC.
August 17, 1989 - July 15, 1993
MORGAN STANLEY DW INC.
March 19, 1986 - August 23, 1989
UBS FINANCIAL SERVICES 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
Exams
Current Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
