Kimberly L. Wall
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 Lynn Wall, who also goes by Kimberly Lynn Cleary, Kimberly Moore, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 1995. Kimberly had worked at 8 firms and has passed the Series 63, Series 65, Series 99TO, Series 52TO, SIE, Series 7, Series 53, Series 27, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2017 - February 11, 2022
RAYMOND JAMES & ASSOCIATES, INC.
December 7, 2017 - February 11, 2022
RAYMOND JAMES & ASSOCIATES, INC.
June 24, 2015 - December 8, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 10, 2015 - March 9, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 28, 2011 - April 13, 2015
BMO HARRIS FINANCIAL ADVISORS, INC.
June 4, 2007 - November 2, 2010
MIDWEST FINANCIAL AND INVESTMENT SERVICES, INC.
June 4, 2007 - January 5, 2011
MIDWEST FINANCIAL AND INVESTMENT SERVICES, INC.
August 1, 2006 - May 9, 2007
WOLF CAPITAL LLC
January 27, 2003 - May 9, 2007
WOLF FINANCIAL MANAGEMENT, LLC
January 25, 2003 - May 9, 2007
WOLF FINANCIAL MANAGEMENT, LLC
March 26, 2001 - May 9, 2007
WOLF FINANCIAL MANAGEMENT, LLC
March 21, 1995 - January 28, 2000
RAYMOND JAMES & ASSOCIATES, INC.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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 ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
