Kim W. Gustafson
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 Warren Gustafson was a registered financial professional .
Kim is a previously registered financial professional and started their career in finance in 1974. Kim had worked at 15 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2006 - June 18, 2008
PROFESSIONAL ASSET MANAGEMENT, INC.
March 22, 2001 - December 20, 2006
BRECEK & YOUNG ADVISORS, INC.
October 16, 2000 - March 6, 2001
DONAHUE SECURITIES, INC.
January 3, 2000 - February 21, 2013
GUSTAFSON BAXTER FINANCIAL SERVICES INC
December 23, 1994 - October 19, 2000
PRIM SECURITIES, INCORPORATED
November 10, 1989 - December 16, 1994
WARWICK SECURITIES, INC.
March 31, 1988 - November 30, 1989
COLUMBUS EQUITIES INTERNATIONAL, INC.
November 19, 1985 - March 5, 1988
BROOKLIGHT PLACE SECURITIES, INC.
November 28, 1984 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
November 28, 1984 - June 11, 1992
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 28, 1984 - June 11, 1992
OSAIC FA, INC.
October 19, 1984 - December 3, 1985
JOHN HANCOCK DISTRIBUTORS LLC
February 23, 1979 - November 6, 1986
ALEXANDER & ALEXANDER SECURITIES CORP.
July 20, 1978 - February 23, 1979
ALEXANDER & ALEXANDER SECURITIES CORPORATION
May 30, 1974 - August 5, 1978
VOYA FINANCIAL ADVISORS, 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 1
Date: 5/23/1974
Registered Representative ExaminationCurrent Firm
PROFESSIONAL ASSET MANAGEMENT, INC.
CRD#: 21125 / SEC#: , 8-38813
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| 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.
