Ronald L. Kimberly
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.
Ronald Lawrence Kimberly, who also goes by Ron Kimberly, Ronald L Kimberly, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1968. Ronald had worked at 9 firms and has passed the Series 63, Series 7, Series 6, Series 22, Series 1 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
November 17, 2009 - December 31, 2013
VOYA FINANCIAL ADVISORS, INC.
January 1, 2004 - December 31, 2013
VOYA FINANCIAL ADVISORS, INC.
September 12, 2001 - January 1, 2004
LOCUST STREET SECURITIES, INC.
January 13, 1999 - October 1, 2001
VOYA FINANCIAL ADVISORS, INC.
June 17, 1988 - January 13, 1999
MML INVESTORS SERVICES, LLC
September 22, 1987 - July 19, 1988
TRANSAMERICA SECURITIES SALES CORPORATION
September 22, 1987 - July 19, 1988
TRANSAMERICA FINANCIAL ADVISORS, INC.
December 3, 1986 - September 14, 1987
COLUMBUS EQUITIES INTERNATIONAL, INC.
April 2, 1985 - November 7, 1986
DESANTIS SECURITIES COMPANY
April 7, 1972 - June 7, 1981
MONY SECURITIES CORPORATION
November 14, 1968 - June 7, 1981
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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 1
Date: 9/27/1968
Registered Representative ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
