Kimberly P. O'rourke
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 Patricia O'rourke, who also goes by Kimberly Patricia Orourke, Kimberly Patricia Orourkecampanella, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 1990. Kimberly had worked at 12 firms and has passed the Series 65, 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 30, 2005 - November 21, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 16, 2005 - November 21, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 17, 2002 - May 12, 2004
WORLD GROUP SECURITIES, INC.
June 2, 1999 - August 14, 2000
NYLIFE SECURITIES LLC
April 9, 1998 - July 10, 1998
THE THORNWATER COMPANY, L.P.
June 30, 1997 - January 28, 1998
DIME SECURITIES, INC.
October 10, 1996 - January 1, 1997
HAMBRECHT & QUIST LLC
February 6, 1995 - September 24, 1996
BROOKEHILL CAPITAL PARTNERS LIMITED
October 13, 1992 - August 15, 1994
BARINGTON CAPITAL GROUP, L.P.
September 11, 1991 - November 27, 1991
INVESTORS ASSOCIATES, INC.
June 18, 1991 - September 16, 1991
INSTITUTIONAL EQUITY CORPORATION
February 12, 1991 - June 20, 1991
FIRST MONTAUK SECURITIES CORP.
September 24, 1990 - October 15, 1990
COMMONWEALTH ASSOCIATES
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
