Kimberly J. Backman
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 Joyce Backman, who also goes by Kimberly Joyce Smith, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 2001. Kimberly had worked at 2 firms and has passed the SIE, Series 7 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
October 19, 2016 - October 15, 2024
OCM INVESTMENTS, LLC
July 9, 2001 - January 7, 2016
DEUTSCHE BANK SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
OCM INVESTMENTS, LLC
CRD#: 128803 / SEC#: , 8-66176
Contact information
FINRA licenses (52 States and Territories)
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.
