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KC

Kimberly L. Collins

Some features on this profile are disabled
CRD#: 1952612
KC

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 Lynn Collins, who also goes by Kim Adams, Kimberly L Adams, Kimberly Lynn Adams, was a registered financial professional .

Kimberly is a previously registered financial professional and started their career in finance in 1991. Kimberly had worked at 21 firms and has passed the Series 99TO, SIE, Series 7 and Series 28 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kim Adams | Kimberly L Adams | Kimberly Lynn Adams

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 8, 2015 - February 23, 2018

MOUNTAIN RIVER SECURITIES, INC.

BD
CRD#: 36937
DENVER, CO
Past

September 12, 2014 - September 14, 2023

CLEARCREEK SECURITIES, LLC

BD
CRD#: 169774
Denver, CO
Past

October 30, 2013 - October 2, 2023

FIRST HILL SECURITIES, LLC

BD
CRD#: 166445
CENTENNIAL, CO
Past

September 13, 2013 - March 13, 2015

MANARIN SECURITIES CORPORATION

BD
CRD#: 37611
OMAHA, NE
Past

August 8, 2012 - March 16, 2015

ASCENDANT FINANCIAL PARTNERS, LLC

BD
CRD#: 143326
ROTONDA WEST, FL
Past

May 24, 2012 - October 4, 2023

PETRIE PARTNERS SECURITIES, LLC

BD
CRD#: 131783
DENVER, CO
Past

July 4, 2011 - September 13, 2023

PLEXUS ENERGY CAPITAL, LLC

BD
CRD#: 138263
LITTLETON, CO
Past

May 5, 2011 - October 9, 2023

DCMB SECURITIES LLC

BD
CRD#: 146578
HOUSTON, TX
Past

December 14, 2010 - January 23, 2019

QUADRIGA SECURITIES, LLC

BD
CRD#: 153861
DENVER, CO
Past

August 10, 2010 - December 31, 2016

CVCAPITAL SECURITIES, LLC

BD
CRD#: 152765
Englewood, CO
Past

December 9, 2008 - October 9, 2023

INTEGRIS SECURITIES, LLC

BD
CRD#: 30061
GREENWOOD VILLAGE, CO
Past

July 14, 2008 - June 29, 2012

W.G. NIELSEN & CO.

BD
CRD#: 41093
DENVER, CO
Past

November 26, 2007 - September 13, 2023

AGA SECURITIES, LLC

BD
CRD#: 122781
BAINBRIDGE ISLAND, WA
Past

June 18, 2007 - July 31, 2024

CHA FINANCIAL ADVISORS

BD
CRD#: 46726
DENVER, CO
Past

August 1, 2006 - June 6, 2007

PWCG BROKERAGE, INC.

BD
CRD#: 5053
FORT COLLINS, CO
Past

May 13, 2004 - December 12, 2005

WESTPARK CAPITAL, INC.

BD
CRD#: 39914
LOS ANGELES, CA
Past

July 8, 2003 - February 9, 2006

CADWEST CAPITAL ADVISORS LLC

BD
CRD#: 125124
DENVER, CO
Past

October 14, 1994 - December 19, 1995

SKB CORBOY, INC

BD
CRD#: 37172
ENGLEWOOD, CO
Past

March 23, 1994 - July 29, 1996

LTC INVESTMENT SERVICES, INC.

BD
CRD#: 23750
DENVER, CO
Past

June 7, 1993 - October 14, 1994

CORBOY & COMPANY, L.P.

BD
CRD#: 23706
Past

September 30, 1991 - November 10, 1992

ICON DISTRIBUTORS, INC.

BD
CRD#: 28568
GREENWOOD VILLAGE, CO

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/25/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 5/15/2003
Introducing Broker/Dealer Financial Operations Principal Examination

Current Firm

MR
MOUNTAIN RIVER SECURITIES, INC.
FIRST MATRIX INVESTMENT SERVICES | VINTAGE FINANCIAL SERVICES CORPORATION | UW INVESTMENT SERVICES | MOUNTAIN RIVER SECURITIES, INC. | MOUNTAIN RIVER SECURITIES | FIRST MATRIX INVESTMENT SERVICES CORP.

CRD#: 36937 / SEC#: , 8-47565

BD
Terminated by SEC on 04/16/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 03/04/1994
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MOUNTAIN RIVER HOLDINGS, INCSHAREHOLDER
BRADY, CHERYL JOVICE PRESIDENT
CARLSON, COLLEEN LPRESIDENT AND CHIEF COMPLIANCE OFFICER4456173
PINOU, THOMAS GEORGEFINOP1206949

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

MOUNTAIN RIVER SECURITIES, INC.

CRD#: 36937

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