Troy A. Kimmes
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.
Troy Allen Kimmes was a registered financial professional .
Troy is a previously registered financial professional and started their career in finance in 1987. Troy had worked at 5 firms and has passed the Series 63, Series 3 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
August 30, 1994 - December 31, 1995
WMA SECURITIES, INC.
April 22, 1992 - August 21, 1992
UBS FINANCIAL SERVICES INC.
February 27, 1990 - September 12, 1990
UBS FINANCIAL SERVICES INC.
August 4, 1988 - September 13, 1991
MONMOUTH INVESTMENTS, INC.
October 16, 1987 - May 4, 1988
R.B. MARICH, INC.
August 20, 1987 - October 26, 1987
THE STUART-JAMES COMPANY, INCORPORATED
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
WMA SECURITIES, INC.
CRD#: 32625 / SEC#: , 8-45728
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 6 |
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.
