Kim M. Tricas
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.
Kim Marie Tricas, who also goes by Kim Marie Lucas, Kim M Tricas, Kim Marie Tubridy, Kim Tubridy, was a registered financial professional .
Kim is a previously registered financial professional and started their career in finance in 1991. Kim had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 2017 - April 16, 2018
PAYANT WEALTH MANAGEMENT GROUP
March 28, 2017 - November 19, 2019
OSAIC SERVICES, INC.
August 4, 2015 - March 13, 2017
WELLS FARGO CLEARING SERVICES, LLC
July 29, 2015 - March 13, 2017
WELLS FARGO CLEARING SERVICES, LLC
January 2, 2015 - July 24, 2015
FSC SECURITIES CORPORATION
January 7, 2010 - January 2, 2015
OSAIC SERVICES, INC.
January 5, 2010 - January 2, 2015
OSAIC SERVICES, INC.
November 9, 2007 - January 5, 2010
FELTL & COMPANY
February 12, 2007 - November 20, 2007
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
February 2, 2007 - November 21, 2007
LPL FINANCIAL LLC
February 18, 2004 - February 8, 2007
SII INVESTMENTS, INC.
August 7, 1995 - February 17, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 24, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
October 24, 1991 - August 7, 1995
PRUCO SECURITIES, LLC.
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
PAYANT WEALTH MANAGEMENT GROUP
CRD#: 134854 / SEC#: 801-113231
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 618 |
| AUM (Assets Under Management) | $ 235,612,609 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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