John G. Kimberlin
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.
John G Kimberlin III was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 16 firms and has passed the Series 99TO, SIE, Series 3, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2007 - November 20, 2024
CREDIT AGRICOLE SECURITIES (USA) INC.
March 15, 2007 - March 20, 2007
INSTINET, LLC
June 30, 2005 - July 22, 2005
PREBON SECURITIES (USA) INC.
June 30, 2005 - July 22, 2005
PREBON FINANCIAL PRODUCTS INC.
October 12, 2004 - July 20, 2005
TULLETT PREBON FINANCIAL SERVICES LLC
October 12, 2004 - July 20, 2005
TULLETT LIBERTY BROKERAGE INC.
October 12, 2004 - July 20, 2005
COLLINS STEWART (SECURITIES) INC.
February 28, 2002 - January 13, 2003
ICAP SECURITIES USA LLC
July 12, 2001 - January 31, 2002
GGET, LLC.
July 26, 2000 - December 1, 2000
INTERCAPITAL SECURITIES, INC.
April 18, 2000 - July 18, 2000
INTERCAPITAL SECURITIES, INC.
December 15, 1999 - April 28, 2000
INTERCAPITAL GOVERNMENT SECURITIES INC.
December 15, 1999 - December 6, 2000
INTERCAPITAL INTERNATIONAL INC.
March 28, 1996 - March 23, 2000
TITUS & DONNELLY LLC
February 27, 1996 - August 7, 2001
INTERCAPITAL SECURITIES LLC
February 27, 1996 - January 25, 2002
ICAP SECURITIES USA LLC
September 19, 1995 - June 11, 2002
GARBAN CAPITAL MARKETS LLC
December 1, 1993 - January 13, 2003
TP ICAP GLOBAL MARKETS AMERICAS 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CREDIT AGRICOLE SECURITIES (USA) INC.
CRD#: 190 / SEC#: , 8-13753
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREDIT AGRICOLE GLOBAL PARTNERS INC. ("CAGPI") | SHAREHOLDER | |
| ARNAL, CELINE | DIRECTOR | 7247072 |
| GEROLD, MARIA TERESA | CFO | 5967881 |
| HETIER, FRANCOIS-EDOUARD MARIE MARC | DIRECTOR | 7817148 |
| KURZ, WILLIAM FRANK | MEMBER OF THE BOARD OF DIRECTORS AND COO | 7602164 |
| PUBLIE, STEPHANE | INTERIM CEO AND MEMBER OF THE BOARD OF DIRECTORS | 5978052 |
| YOUN, EDWARD KYUNG-HO | CHIEF COMPLIANCE OFFICER | 6723958 |
| ZAFAR, KASHIF | MANAGING DIRECTOR | 2666642 |
Disclosures
| Regulatory Event | 18 |
Red Flags
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