Kim L. Oeder
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 Lemar Oeder was a registered financial professional .
Kim is a previously registered financial professional and started their career in finance in 1995. Kim had worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, Series 31, SIE, Series 7, Series 6, Series 14, Series 30, Series 53, 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
January 17, 2018 - January 8, 2025
ANCORA PRIVATE WEALTH ADVISORS, LLC
January 3, 2018 - January 2, 2026
INVERNESS SECURITIES, LLC
October 7, 2016 - December 31, 2017
KEY INVESTMENT SERVICES LLC
October 6, 2016 - December 31, 2017
KEY INVESTMENT SERVICES LLC
June 16, 2015 - October 10, 2016
KEYBANC CAPITAL MARKETS INC.
March 9, 2007 - December 9, 2015
VICTORY CAPITAL MANAGEMENT INC.
January 25, 2007 - May 1, 2015
VICTORY CAPITAL SERVICES, INC.
August 9, 2006 - December 15, 2006
KEYBANC CAPITAL MARKETS INC.
April 16, 2002 - December 15, 2006
KEYBANC CAPITAL MARKETS INC.
July 27, 2000 - October 31, 2001
NATCITY INVESTMENTS, INC.
July 27, 2000 - October 31, 2001
NATCITY INSURANCE SERVICES, INC.
May 14, 1999 - July 26, 2000
KEYBANC CAPITAL MARKETS INC.
December 11, 1996 - May 14, 1999
KEY INVESTMENTS INC.
October 17, 1995 - May 20, 1996
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
ANCORA PRIVATE WEALTH ADVISORS, LLC
CRD#: 124845 / SEC#: 801-61942
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
ANCORA PRIVATE WEALTH ADVISORS, LLC
CRD#: 124845 / SEC#: 801-61942
Contact information
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,083 |
| AUM (Assets Under Management) | $ 3,213,280,712 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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