William S. Kimball
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.
William S Kimball, who also goes by Bill Kimball, William S. Kimball Jr., William Straker Kimball Jr, William Straker Kimball, William Kimball, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1993. William had worked at 11 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2018 - July 24, 2025
SAMUEL A. RAMIREZ & COMPANY, INC.
April 10, 2017 - September 6, 2018
BREAN CAPITAL, LLC
November 23, 2011 - April 11, 2017
JANNEY MONTGOMERY SCOTT LLC
September 20, 2006 - October 20, 2011
STERNE, AGEE & LEACH, INC.
June 20, 2005 - September 7, 2006
RAYMOND JAMES & ASSOCIATES, INC.
April 20, 2004 - July 12, 2005
ADVEST, INC.
August 8, 2002 - May 25, 2004
BONDS DIRECT SECURITIES LLC
February 26, 2002 - August 8, 2002
FIDELITY BROKERAGE SERVICES LLC
November 30, 1998 - August 8, 2002
NATIONAL FINANCIAL SERVICES LLC
April 24, 1996 - December 16, 1998
ITG EXECUTION SERVICES, INC.
September 13, 1993 - November 27, 1995
CITIGROUP GLOBAL MARKETS 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
SAMUEL A. RAMIREZ & COMPANY, INC.
CRD#: 6963 / SEC#: , 8-19014
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAR HOLDINGS, INC. | HOLDING COMPANY | |
| GOLDMAN, LAWRENCE F | MANAGING DIRECTOR | 1134640 |
| KICK, MICHAEL J | SR. VP/ CFO/ FIN OP | 4480676 |
| KOFFER, JOSEPH | CHIEF COMPLIANCE OFFICER | 6043686 |
| MAZZARO, VINCENT ANTHONY | COO | 2665339 |
| PERROTTA, THOMAS | MANAGING DIRECTOR | 1864851 |
| RAMIREZ, SAMUEL ALFRED | PRESIDENT & DIRECTOR/SECRETARY | 827095 |
| RAMIREZ,, SAMUEL ALFRED JR | MANAGING DIRECTOR | 2261054 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
Red Flags
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