Kimberly M. Rose
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 Marie Rose was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 1998. Kimberly had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2020 - May 17, 2021
UHLMANN PRICE SECURITIES, LLC
November 2, 2017 - April 1, 2019
CREWS & ASSOCIATES, INC.
July 13, 2016 - August 1, 2017
WILLIAM BLAIR
February 1, 2016 - April 6, 2016
RH INVESTMENT CORPORATION
August 29, 2014 - February 19, 2015
INSPEREX LLC
July 9, 2007 - July 2, 2014
HILLTOP SECURITIES INC.
January 10, 2006 - July 2, 2007
TD WEALTH MANAGEMENT SERVICES INC.
April 5, 2005 - January 5, 2006
KEYBANC CAPITAL MARKETS INC.
March 25, 1999 - April 21, 2005
WILLIAM BLAIR
July 31, 1998 - March 31, 1999
B. C. ZIEGLER AND COMPANY
January 22, 1998 - July 21, 1998
RAYMOND JAMES & ASSOCIATES, 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
UHLMANN PRICE SECURITIES, LLC
CRD#: 42854 / SEC#: , 8-50041
Contact information
FINRA licenses (51 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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