Kimberly A. Saxton
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 Ann Saxton, who also goes by Kimberly Ann Mahoney, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 1990. Kimberly had worked at 16 firms and has passed the Series 65, Series 63, SIE, 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
January 22, 2021 - April 2, 2021
CITIZENS SECURITIES, INC.
January 22, 2021 - April 2, 2021
CITIZENS SECURITIES, INC.
July 17, 2020 - February 2, 2021
SECURITIES AMERICA ADVISORS, INC.
July 17, 2020 - February 2, 2021
SECURITIES AMERICA, INC.
April 15, 2011 - July 17, 2020
INVESTACORP ADVISORY SERVICES INC
April 15, 2011 - July 17, 2020
INVESTACORP, INC.
April 12, 2007 - December 11, 2009
CONNECTICUT INVESTMENT MANAGEMENT
January 19, 2005 - April 5, 2007
NEWALLIANCE INVESTMENTS, INC.
May 26, 2004 - April 15, 2011
NEWALLIANCE INVESTMENTS, INC.
January 3, 2002 - May 19, 2004
OSAIC INSTITUTIONS, INC.
August 10, 2001 - May 19, 2004
OSAIC INSTITUTIONS, INC.
January 8, 1999 - August 14, 2001
WS GRIFFITH SECURITIES, INC.
December 6, 1995 - September 11, 1998
TOWER SQUARE SECURITIES, INC.
December 12, 1994 - November 15, 1995
G. R. PHELPS & CO., INC.
June 6, 1994 - December 20, 1994
FORESIDE FUNDS DISTRIBUTORS LLC
September 4, 1991 - May 19, 1994
SHAWMUT BROKERAGE, INC.
May 28, 1991 - June 13, 1991
NEUBERGER BERMAN BD LLC
January 21, 1991 - April 1, 1991
BULL & BEAR SECURITIES, INC.
November 14, 1990 - January 29, 1991
MIDAS SECURITIES GROUP, INC.
Primary Firm SEC Registration
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
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
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| 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.
