Kim M. Gardey
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.
Kim Mcneill Gardey MR, CFA, CFP®, who also goes by Kim Gardey, was a registered financial professional .
Kim is a previously registered financial professional and started their career in finance in 2010. Kim had worked at 1 firm and has passed the Series 2 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1987
Experience
April 6, 2010 - December 19, 2023
GARDEY FINANCIAL ADVISORS 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 2
Date: 11/4/1994
Non-Member General Securities ExaminationCurrent Firm
GARDEY FINANCIAL ADVISORS INC
CRD#: 105337 / SEC#: 801-22431
Contact information
Regulatory assets under management
| Total Number of Accounts | 607 |
| AUM (Assets Under Management) | $ 228,441,648 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/12/2024 | ||
| 09/28/2023 | ||
| 09/20/2022 |
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.
