Kimberly R. Curran
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 Read Curran, who also goes by Kimberly Read Curran, Kim Read, Kimberly Helen Read, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 1989. Kimberly had worked at 11 firms and has passed the Series 63, 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
August 7, 2003 - November 22, 2005
SHIELDS & COMPANY
December 11, 2000 - August 28, 2001
HILLTOP SECURITIES INC.
February 4, 2000 - December 6, 2000
J.P. MORGAN SECURITIES LLC
August 28, 1999 - December 16, 1999
FIRST LIBERTY INVESTMENT GROUP, INC.
April 2, 1998 - February 26, 1999
AUERBACH, POLLAK & RICHARDSON INC.
May 8, 1997 - April 1, 1998
DAVID J. GREENE AND COMPANY, LLC
September 3, 1993 - October 28, 1996
BLUESTONE CAPITAL CORP.
March 26, 1993 - August 30, 1993
WINDSOR BENNETT CAPITAL GROUP CORP.
November 21, 1991 - February 26, 1993
CIBC WOOD GUNDY SECURITIES CORP.
February 5, 1990 - May 23, 1990
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 25, 1989 - February 8, 1990
INTERNATIONAL ASSETS ADVISORY, LLC
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
SHIELDS & COMPANY
CRD#: 11053 / SEC#: , 8-28036
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SHIELDS, JOSEPH VINCENT JR | CHAIRMAN & MANAGING DIRECTOR | 700539 |
| SHIELDS, DAVID VINCENT | PRESIDENT & MANAGING DIRECTOR | 1072810 |
| CURCURU, PHILIP MICHAEL | CHIEF OPERATIONS OFFICER | |
| CURCURU, PHILIP MICHAEL | CFO | |
| MEYER, CHRISTOPHER FRANCIS | CHIEF COMPLIANCE OFFICER | 1075415 |
| SCARPA, RALPH JOSEPH | SECRETARY | 718855 |
| VANCLEVE, KEVIN PATRICK | MSRB PRINCIPAL | 1022686 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
