KS
Kimberly M. Scapardine
MUTUAL OF AMERICA SECURITIES LLC
Boca Raton, FL 33487
Some features on this profile are disabled
CRD#: 2318842
KS
Professional summary
Kimberly Marie Scapardine, who also goes by Kimberly Marie English, Kimberly Marie Mihajlov, Kimberly M Mihajlov-luna, Kimberly M Mihajlov, is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in Boca Raton, Florida.
Kimberly is registered as a RR (Registered Representative) and started their career in finance in 1994. Kimberly has worked at 7 firms and has passed the Series 63, Series 65, Series 6TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kimberly Marie English | Kimberly Marie Mihajlov | Kimberly M Mihajlov-Luna | Kimberly M Mihajlov
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Kimberly Marie Scapardine'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
October 27, 2020 - Present
MUTUAL OF AMERICA SECURITIES LLC
Office #1: 1150 Broken Sound Parkway Nw, Boca Raton, FL 33487BD
CRD#: 27878
Boca Raton, FL
Past
December 11, 2019 - November 16, 2020
FIRST ADVISORS NATIONAL, LLC
RIA
CRD#: 166212
Pompano Beach, FL
Past
December 5, 2006 - January 17, 2018
NATIONWIDE INVESTMENT ADVISORS, LLC
RIA
CRD#: 142373
COLUMBUS, OH
Past
October 28, 2004 - December 5, 2006
NATIONWIDE INVESTMENT SERVICES CORPORATION
RIA
CRD#: 7110
CHICAGO, IL
Past
September 24, 1997 - January 17, 2018
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
CHICAGO, IL
Past
May 3, 1995 - December 31, 1996
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
March 31, 1994 - July 11, 1994
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
March 31, 1994 - July 11, 1994
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
RR
Alabama(11/14/2020)
RR
Alaska(11/14/2020)
RR
Arizona(11/14/2020)
RR
Arkansas(11/14/2020)
RR
California(11/14/2020)
RR
Colorado(10/27/2020)
RR
Connecticut(11/14/2020)
RR
Delaware(11/14/2020)
RR
District of Columbia(10/27/2020)
RR
Florida(10/27/2020)
RR
Georgia(11/14/2020)
RR
Hawaii(11/14/2020)
RR
Idaho(11/14/2020)
RR
Illinois(11/14/2020)
RR
Indiana(11/14/2020)
RR
Iowa(11/14/2020)
RR
Kansas(11/14/2020)
RR
Kentucky(11/14/2020)
RR
Louisiana(10/27/2020)
RR
Maine(11/14/2020)
RR
Maryland(10/27/2020)
RR
Massachusetts(11/14/2020)
RR
Michigan(11/14/2020)
RR
Minnesota(11/14/2020)
RR
Mississippi(11/14/2020)
RR
Missouri(11/14/2020)
RR
Montana(11/14/2020)
RR
Nebraska(11/14/2020)
RR
Nevada(11/14/2020)
RR
New Hampshire(11/14/2020)
RR
New Jersey(11/14/2020)
RR
New Mexico(11/14/2020)
RR
New York(11/14/2020)
RR
North Carolina(11/14/2020)
RR
North Dakota(11/14/2020)
RR
Ohio(10/28/2020)
RR
Oklahoma(11/14/2020)
RR
Oregon(11/14/2020)
RR
Pennsylvania(11/14/2020)
RR
Rhode Island(11/14/2020)
RR
South Carolina(11/14/2020)
RR
South Dakota(11/14/2020)
RR
Tennessee(11/14/2020)
RR
Texas(11/14/2020)
RR
Utah(11/14/2020)
RR
Vermont(11/14/2020)
RR
Virginia(11/14/2020)
RR
Washington(11/14/2020)
RR
West Virginia(11/14/2020)
RR
Wisconsin(11/14/2020)
RR
Wyoming(11/14/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 10/27/2020
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MO
MUTUAL OF AMERICA SECURITIES LLC
MUTUAL OF AMERICA SECURITIES CORPORATION | MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
320 Park Avenue, New York, NY 10022
Mailing Address
320 Park Avenue, New York, NY 10022-3869
Phone number
(212) 224-1600
Established
Delaware since 06/29/1990
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
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.
