Kimberly A. Keith
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 Ann Keith, who also goes by Kimberly Ann Alexander, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 1993. Kimberly had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 51 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2008 - July 13, 2022
THE O.N. EQUITY SALES COMPANY
January 13, 1998 - October 29, 2004
ADVANCE CAPITAL SERVICES, INC.
May 15, 1997 - August 29, 1997
FIRST OF MICHIGAN CORPORATION
December 11, 1995 - May 19, 1997
AMERIPRISE ADVISOR SERVICES, INC.
July 24, 1995 - November 21, 1995
UBS FINANCIAL SERVICES INC.
June 9, 1994 - July 3, 1995
CITIGROUP GLOBAL MARKETS INC.
December 7, 1993 - May 23, 1994
ROBERT THOMAS SECURITIES, 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
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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