Valerie K. Kimball
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.
Valerie Kathrine Kimball, who also goes by Valerie Katherine Diener, Valerie Kathrine Diener, was a registered financial professional .
Valerie is a previously registered financial professional and started their career in finance in 1990. Valerie had worked at 7 firms and has passed the Series 63, Series 55, 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
June 15, 1999 - February 2, 2012
NTB FINANCIAL CORPORATION
April 7, 1998 - June 2, 1999
CHARLES SCHWAB & CO., INC.
March 4, 1998 - April 3, 1998
D.E. FREY & COMPANY, INC.
October 31, 1997 - June 2, 1998
LUMIERE SECURITIES, INC.
January 20, 1992 - August 27, 1997
STRATEGIC RESOURCE MANAGEMENT, INC.
February 22, 1991 - January 28, 1992
BURNETT, GREY & CO., INC.
September 6, 1990 - February 20, 1991
WILLIAM BARTON FINANCIAL, INC.
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
Series 55
Date: 9/9/2000
Limited Representative-Equity Trader ExamCurrent Firm
NTB FINANCIAL CORPORATION
CRD#: 7425 / SEC#: 801-65853, 8-21884
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN, MICHAEL JOHN | SHAREHOLDER | 1437315 |
| PETRELLI, ANTHONY BENEDICT | SHAREHOLDER | 809169 |
| ROESENER, REGINA LEE | SHAREHOLDER | 1937783 |
| CAMPEN, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER, PRINCIPAL OPERATIONS OFFICER | 1959903 |
| DOWELL, BRAD ALLEN | CHIEF FINANCIAL OFFICER FINOP, PRINCIPAL FINANCIAL OFFICER | 1308189 |
Regulatory assets under management
| Total Number of Accounts | 724 |
| AUM (Assets Under Management) | $ 250,252,265 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
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.
