Kim D. Le
Professional summary
Kim D Le was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kim is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Kim had worked at 8 firms, which includes STATE FARM VP MANAGEMENT CORP., PRUCO SECURITIES LLC., 1ST DISCOUNT BROKERAGE INC., ALLSTATE FINANCIAL SERVICES LLC, ACUMENT SECURITIES INC., IAC SECURITIES INC., UNITED SECURITIES ALLIANCE INC., WMA SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2013 - July 8, 2016
STATE FARM VP MANAGEMENT CORP.
July 13, 2010 - March 4, 2013
PRUCO SECURITIES, LLC.
March 14, 2007 - September 22, 2008
1ST DISCOUNT BROKERAGE, INC.
June 21, 2006 - March 1, 2007
ALLSTATE FINANCIAL SERVICES, LLC
August 21, 2002 - July 13, 2006
1ST DISCOUNT BROKERAGE, INC.
May 1, 2001 - August 21, 2002
ACUMENT SECURITIES, INC.
January 4, 2000 - May 11, 2001
IAC SECURITIES, INC.
September 22, 1999 - January 19, 2000
UNITED SECURITIES ALLIANCE, INC.
March 10, 1999 - September 17, 1999
UNITED SECURITIES ALLIANCE, INC.
January 15, 1997 - April 2, 1999
WMA SECURITIES, INC.
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
STATE FARM VP MANAGEMENT CORP.
CRD#: 43036 / SEC#: , 8-50128
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE FARM INVESTMENT MANAGEMENT | SHAREHOLDER | 3487 |
| COOK, KRISTYN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4215717 |
| FARNEY, JON CHARLES | PRESIDENT AND DIRECTOR | 2839964 |
| GHANBARPOUR, ARASH | VICE PRESIDENT AND DIRECTOR | 5129325 |
| HINTZ, SCOTT ALEXANDER | VICE PRESIDENT - FINANCIAL AND SECRETARY | 2004555 |
| LUDWIG, TERRENCE MICHAEL | CHIEF COMPLIANCE OFFICER AND TREASURER | 3231040 |
| MINEAU, SARAH | SENIOR VICE PRESIDENT AND DIRECTOR | 4634160 |
| MONTGOMERY, BRADLEY DOYLE | SENIOR VICE PRESIDENT AND DIRECTOR | 2913835 |
| PRESTON, BRIAN LYNN | ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER | 4312143 |
| WIEDUWILT, ANDREW PATRICK | VICE PRESIDENT | 8074278 |
| WILLARD, DANIEL NELSON | ASSISTANT SECRETARY AND COUNSEL | 5207081 |
Disclosures
| Regulatory Event | 7 |
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