Kimberly R. Mocha
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 Rae Mocha, CFP®, who also goes by Kim Mocha, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 1997. Kimberly had worked at 2 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2001
Experience
February 3, 2017 - March 23, 2022
VICUS CAPITAL, INC.
February 11, 1997 - December 26, 2013
RAYMOND JAMES & ASSOCIATES, INC.
Primary Firm SEC Registration
VICUS CAPITAL, INC.
CRD#: 116021 / SEC#: 801-60628
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
Current Firm
VICUS CAPITAL, INC.
CRD#: 116021 / SEC#: 801-60628
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 9,058 |
| AUM (Assets Under Management) | $ 2,574,468,218 |
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.
