Kimberly D. Phelps
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.
Kimberly Denise Phelps, who also goes by Kimberly D Bolling, Kimberly Denise Bolling, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 1993. Kimberly had worked at 6 firms and has passed the Series 63, SIE 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
January 8, 2010 - December 15, 2022
AMERICAN EQUITY INVESTMENT CORPORATION
December 1, 2006 - December 2, 2009
QUESTAR CAPITAL CORPORATION
October 3, 2001 - December 1, 2006
USALLIANZ SECURITIES, INC.
May 25, 1994 - October 8, 2001
WOODBURY FINANCIAL SERVICES, INC.
August 30, 1993 - March 29, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
August 30, 1993 - March 29, 1994
SIGNATOR INVESTORS, 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
Current Firm
AMERICAN EQUITY INVESTMENT CORPORATION
CRD#: 40199 / SEC#: , 8-49078
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEOPLES, TIMOTHY ERIC | PRESIDENT / CHIEF COMPLIANCE OFFICER | 1026456 |
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.
