Kimberly J. Shadduck
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 Jean Shadduck, who also goes by Kimberly Jean Little, Kimberly M Little, Kimberly Mcdonald Little, Kimberly Little, Kimberly Mcdonald, Kimberly Jean Mcdonaldlittle, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 1990. Kimberly had worked at 15 firms and has passed the Series 65, Series 63 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
February 21, 2008 - April 4, 2012
PLANTE MORAN FINANCIAL ADVISORS
February 1, 2006 - May 7, 2007
SMART FINANCIAL ADVISORS, LLC
November 16, 2005 - November 10, 2006
CETERA ADVISORS LLC
May 2, 2005 - November 8, 2005
WATERSTONE FINANCIAL GROUP, INC.
October 25, 2004 - April 29, 2005
VALMARK ADVISERS, INC.
October 1, 2004 - April 29, 2005
VALMARK SECURITIES, INC.
June 2, 2004 - October 1, 2004
FINANCIAL TELESIS INC
April 14, 2003 - May 18, 2004
NATIONWIDE INVESTMENT SERVICES CORPORATION
September 16, 2002 - April 10, 2003
1717 CAPITAL MANAGEMENT COMPANY
June 24, 2002 - July 24, 2002
CITICORP INVESTMENT SERVICES
September 27, 2001 - July 24, 2002
CITICORP INVESTMENT SERVICES
August 27, 1998 - April 3, 2001
VOYA FINANCIAL ADVISORS, INC.
October 30, 1996 - August 17, 1998
TRANSAMERICA SECURITIES SALES CORPORATION
June 1, 1993 - September 16, 1996
INDUSTRY SAVINGS PLANS, INC.
September 18, 1990 - November 10, 1992
IDS LIFE INSURANCE COMPANY
September 18, 1990 - November 10, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
PLANTE MORAN FINANCIAL ADVISORS
CRD#: 112158 / SEC#: 801-44058
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
PLANTE MORAN FINANCIAL ADVISORS
CRD#: 112158 / SEC#: 801-44058
Contact information
SEC notice filing (32 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 18,119 |
| AUM (Assets Under Management) | $ 23,152,747,360 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 01/27/2025 | ||
| 10/23/2023 | ||
| 01/17/2023 |
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.
