Kim E. Elverud
Professional summary
Kim Edward Elverud was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kim is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Kim had worked at 3 firms, which includes SUMNER HARRINGTON LTD., SECURITIES RESOLUTION CORPORATION, JOHN G. KINNARD AND COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2001 - August 5, 2010
SUMNER HARRINGTON LTD.
July 6, 2000 - June 25, 2001
SECURITIES RESOLUTION CORPORATION
April 12, 1991 - November 18, 1994
JOHN G. KINNARD AND COMPANY, INCORPORATED
State Registrations and Notice Filings
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Exams
Series 62
Date: 4/10/1991
Corporate Securities Limited Representative ExaminationSeries 28
Date: 2/15/2010
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
SUMNER HARRINGTON LTD.
CRD#: 45858 / SEC#: , 8-51215
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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