Kimberly E. Lipps
Professional summary
Kimberly Ellen Lipps, who also goes by Kimberly Ellen Whorwell, is a registered financial professional currently at JOHN HANCOCK DISTRIBUTORS LLC located in Fletcher, North Carolina.
Kimberly is registered as a RR (Registered Representative) and started their career in finance in 1995. Kimberly has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kimberly Ellen Lipps's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 1, 2016 - Present
JOHN HANCOCK DISTRIBUTORS LLC
April 23, 2001 - November 19, 2010
SIGNATOR INVESTORS, INC.
April 29, 1996 - April 18, 2001
PRINCIPAL SECURITIES, INC.
March 16, 1995 - April 12, 1996
CETERA WEALTH SERVICES, 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
(4/1/2025)
(4/1/2025)
(11/15/2016)
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(4/1/2025)
(11/15/2016)
(7/25/2019)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
Exams
FINRA
Current Firm
JOHN HANCOCK DISTRIBUTORS LLC
CRD#: 5249 / SEC#: , 8-15826
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) | OWNER | |
| BOGLE, JAMES WILLIAM | PRINCIPAL FINANCIAL OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL | 7344902 |
| HARTIGAN, ROBERT JOSEPH | CHIEF COMPLIANCE OFFICER | 2931786 |
| LANNIGAN, TRACY KANE | VICE PRESIDENT & CORPORATE SECRETARY | 6944688 |
| SILVA, ANTHONY ALEX | DIRECTOR | 7755954 |
| TANKERSLEY, GARY LYNN | PRESIDENT & CHIEF EXECUTIVE OFFICER | 2637199 |
| WALKER, CHRISTOPHER MICHAEL | VICE PRESIDENT, INVESTMENTS & DIRECTOR | 4302554 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
Red Flags
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