KB
Kimberly A. Barentsen
BARENTSEN ADVISORY SERVICES
Walnut Creek, CA 94597
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CRD#: 2092280
KB
Professional summary
Kimberly Ann Barentsen, who also goes by Kimberly Ann Berentsen, Kimberly Ann Bielema, Kimberly Ann Bietema, is a registered financial advisor currently at BARENTSEN ADVISORY SERVICES, LLC located in Walnut Creek, California and AEGIS CAPITAL CORP. located in Walnut Creek, California.
Kimberly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Kimberly has worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kimberly Ann Berentsen | Kimberly Ann Bielema | Kimberly Ann Bietema
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.
(1) BARENTSEN ADVISORY SERVICES, LLC POSITION: Officer/Director NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 60 START DATE: 07/15/2022 ADDRESS: 1255 Treat Blvd; Suite #300, Walnut Creek CA 94597, United States DESCRIPTION: OUTSIDE RIA. (2) INSURANCE POSITION: Independent Contractor NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 5 START DATE: 08/10/1991 ADDRESS: 1255 Treat Blvd; Suite #300, Walnut Creek CA 94597, United States DESCRIPTION: OUTSIDE INSURANCE.
CRS (Client Relationship Summary) - RIA
Click below to view Kimberly Ann Barentsen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kimberly Ann Barentsen's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 29, 2016 - Present
BARENTSEN ADVISORY SERVICES, LLC
Office #1: 1255 Treat Blvd Suite 300, Walnut Creek, CA 94597RIA
CRD#: 285676
Walnut Creek, CA
Current
October 28, 2024 - Present
AEGIS CAPITAL CORP.
Office #1: 1255 Treat Blvd Suite 300, Walnut Creek, CA 94597RIA
BD
CRD#: 15007
WALNUT CREEK, CA
Current
October 28, 2024 - Present
AEGIS CAPITAL CORP.
Office #1: 1255 Treat Blvd Suite 300, Walnut Creek, CA 94597RIA
BD
CRD#: 15007
WALNUT CREEK, CA
Past
April 6, 2023 - September 5, 2024
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
Walnut Creek, CA
Past
April 6, 2023 - September 5, 2024
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
Walnut Creek, CA
Past
July 15, 2022 - March 24, 2023
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
Walnut Creek, CA
Past
July 15, 2022 - March 24, 2023
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
Walnut Creek, CA
Past
November 12, 2020 - July 15, 2022
NPB FINANCIAL GROUP, LLC
RIA
CRD#: 137743
Walnut Creek, CA
Past
November 11, 2020 - July 15, 2022
NPB FINANCIAL GROUP, LLC
BD
CRD#: 137743
Walnut Creek, CA
Past
April 12, 2019 - September 5, 2020
NPB FINANCIAL GROUP, LLC
RIA
CRD#: 137743
Walnut Creek, CA
Past
April 12, 2019 - September 5, 2020
NPB FINANCIAL GROUP, LLC
BD
CRD#: 137743
Walnut Creek, CA
Past
November 1, 2011 - April 8, 2019
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
WALNUT CREEK, CA
Past
October 25, 2011 - October 31, 2011
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
WALNUT CREAAK, CA
Past
October 25, 2011 - April 8, 2019
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
WALNUT CREAAK, CA
Past
January 10, 2005 - September 30, 2011
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
WALNUT CREEK, CA
Past
December 20, 1999 - December 31, 2004
EASTERN POINT ADVISORS INC.
RIA
CRD#: 107123
PLEASANT HILL, CA
Past
January 22, 1998 - September 30, 2011
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
WALNUT CREEK, CA
Past
September 9, 1997 - January 28, 1998
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
Past
October 25, 1993 - May 9, 1996
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
August 17, 1992 - October 25, 1993
MARKETING ONE SECURITIES, INC.
BD
CRD#: 16611
PORTLAND, OR
Past
September 10, 1990 - August 14, 1992
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
BD
CRD#: 14229
NORTHRIDGE, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AC
AEGIS CAPITAL CORP.
AEGIS CAPITAL CORP. | VAST WEALTH ADVISORS | STERNAEGIS VENTURES | STANDARD INTEGRITY WEALTH MANAGEMENT, LLC | SILVESTRI ASSET MANAGEMENT LLC | RIWM LLC | RG BAR INVESTMENT GROUP | PAYNE LEGACY FINANCIAL | PAR FINANCIAL | MEL CAPITAL | MARC JACOBSON & ASSOCIATES | LARCHMONT WEALTH MANAGEMENT | KS CAPITAL MANAGEMENT | FARMER FINANCIAL | DYNAMIC CAPITAL HOLDING | BOGART VALUE PARTNERS | BLUE ANCHOR WEALTH MANAGEMENT | AMERICAN LEGACY WEALTH MANAGEMENT | ALPHA STRATEGIC ADVISORS
CRD#: 15007 / SEC#: 801-71386, 8-31616
RIA
Registered Investment Advisory firm - SEC (5/10/2010 Approved)California
Registered Investment Advisory firm - SEC (5/26/2010 Terminated)Connecticut
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (1/12/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/21/2011 Terminated)Louisiana
Registered Investment Advisory firm - SEC (11/5/2014 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (10/28/2014 Terminated)Minnesota
Registered Investment Advisory firm - SEC (11/7/2014 Terminated)Nevada
Registered Investment Advisory firm - SEC (12/5/2014 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)New York
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Virginia
Registered Investment Advisory firm - SEC (2/23/2011 Terminated)Washington
Registered Investment Advisory firm - SEC (9/15/2014 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (9/13/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
California(11/29/2016)
RR
California(10/28/2024)
RR
Florida(5/13/2025)
RR
Indiana(12/2/2024)
RR
Utah(10/28/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
AC
AEGIS CAPITAL CORP.
AEGIS CAPITAL CORP. | VAST WEALTH ADVISORS | STERNAEGIS VENTURES | STANDARD INTEGRITY WEALTH MANAGEMENT, LLC | SILVESTRI ASSET MANAGEMENT LLC | RIWM LLC | RG BAR INVESTMENT GROUP | PAYNE LEGACY FINANCIAL | PAR FINANCIAL | MEL CAPITAL | MARC JACOBSON & ASSOCIATES | LARCHMONT WEALTH MANAGEMENT | KS CAPITAL MANAGEMENT | FARMER FINANCIAL | DYNAMIC CAPITAL HOLDING | BOGART VALUE PARTNERS | BLUE ANCHOR WEALTH MANAGEMENT | AMERICAN LEGACY WEALTH MANAGEMENT | ALPHA STRATEGIC ADVISORS
CRD#: 15007 / SEC#: 801-71386, 8-31616
RIA
Registered Investment Advisory firm - SEC (5/10/2010 Approved)California
Registered Investment Advisory firm - SEC (5/26/2010 Terminated)Connecticut
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (1/12/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/21/2011 Terminated)Louisiana
Registered Investment Advisory firm - SEC (11/5/2014 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (10/28/2014 Terminated)Minnesota
Registered Investment Advisory firm - SEC (11/7/2014 Terminated)Nevada
Registered Investment Advisory firm - SEC (12/5/2014 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)New York
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Virginia
Registered Investment Advisory firm - SEC (2/23/2011 Terminated)Washington
Registered Investment Advisory firm - SEC (9/15/2014 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (9/13/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1345 Avenue Of The Americas 27th Floor, New York, NY 10105
Mailing Address
1345 Avenue Of The Americas 27th Floor, New York, NY 10105
Phone number
(212) 813-1010
Established
New York since 01/15/1984
Firm type
Corporation
Fiscal year end
November
Firm Size
Medium
# of Employees
270
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AEGIS CAPITAL HOLDING CORP. | HOLDING COMPANY | |
| EIDE, ROBERT JAY | CEO, SECRETARY, CLO, DIRECTOR | 1015261 |
| FEINMAN, ROBERT STEVEN | CHIEF COMPLIANCE OFFICER | 205708 |
| KOTT, GEORGE GREGORY | CHIEF OPERATING OFFICER | 2876578 |
| MCKENNA, FRANCIS J | MUNICIPAL PRINCIPAL | 4825383 |
| MILLER, JOHN STEVENSON | CO-FINOP | 2139980 |
| POSS, THOMAS CHAMPNEY | CHIEF FINANCIAL OFFICER, CO-FINOP | 2547521 |
Regulatory assets under management
| Total Number of Accounts | 2,760 |
| AUM (Assets Under Management) | $ 1,430,612,106 |
Disclosures
| Regulatory Event | 40 |
| Arbitration | 1 |
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
AEGIS CAPITAL CORP.
CRD#: 15007Walnut Creek, CA 94597TRUST BUT VERIFY
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