Kimberly A. Balagtas
Professional summary
Kimberly A Balagtas, who also goes by Kimberly Ann Balagtas, Kimberly Balagtas, is a registered financial professional currently at PIPER SANDLER & CO. located in New York, New York.
Kimberly is registered as a RR (Registered Representative) and started their career in finance in 1997. Kimberly has worked at 16 firms and has passed the Series 63, Series 62, SIE, Series 16, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kimberly A Balagtas's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 22, 2024 - Present
PIPER SANDLER & CO.
Office #1: 1251 Avenue Of The Americas 6th Floor, New York, NY, 10020October 8, 2021 - January 23, 2024
CREDIT SUISSE SECURITIES (USA) LLC
July 8, 2021 - September 23, 2021
CAPITAL ONE SECURITIES, INC.
June 17, 2021 - September 20, 2021
VIII CAPITAL CORP.
July 7, 2020 - September 20, 2021
DAWSON JAMES SECURITIES, INC.
January 10, 2020 - September 17, 2021
ANALYST HUB SECURITIES, LLC
October 16, 2019 - September 16, 2020
CAPITAL ONE SECURITIES, INC.
January 28, 2019 - June 19, 2019
CAPITAL ONE SECURITIES, INC.
May 18, 2017 - October 5, 2017
CAPITAL ONE SECURITIES, INC.
April 2, 2015 - October 13, 2016
WEDBUSH SECURITIES INC.
December 17, 2013 - February 24, 2015
J.P. MORGAN SECURITIES LLC
February 28, 2006 - November 2, 2012
THINKEQUITY LLC
October 19, 2005 - February 24, 2006
BARCLAYS CAPITAL INC.
August 9, 2005 - October 21, 2005
THINKEQUITY LLC
January 26, 2005 - August 18, 2005
WELLS FARGO SECURITIES, LLC
July 22, 2003 - April 2, 2004
ROTH CAPITAL PARTNERS, LLC
December 7, 2001 - October 21, 2002
LADENBURG THALMANN & CO. INC.
August 19, 1999 - April 20, 2001
GLEACHER & COMPANY SECURITIES, INC.
June 14, 1998 - November 18, 1998
TD SECURITIES (USA) LLC
August 26, 1997 - April 21, 1998
ROBERT FLEMING INC.
Primary Firm SEC Registration
PIPER SANDLER & CO.
CRD#: 665 / SEC#: 801-108049, 8-15204
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/22/2024)
Exams
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
PIPER SANDLER & CO.
CRD#: 665 / SEC#: 801-108049, 8-15204
Contact information
SEC notice filing (9 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIPER SANDLER COMPANIES | PARENT | |
| ABRAHAM, CHAD RICHARD | CHAIRMAN, CEO; BOARD MEMBER | 2190836 |
| CLUNE, KATHERINE PATRICIA | CFO; BOARD MEMBER | 4624219 |
| COX, MICHAEL EDWARD | CO-HEAD OF EQUITIES; BOARD MEMBER | 4248868 |
| DILLAHUNT, MICHAEL RAY | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | 3056486 |
| DOYLE, JONATHAN JAY | HEAD OF FINANCIAL SERVICES GROUP | 2108121 |
| GEELAN, JOHN WILLIAM JR. | CHIEF LEGAL OFFICER | 4905460 |
| GERBER, JEREMY JOSEPH | CO HEAD OF PUBLIC FINANCE; BOARD MEMBER | 5071604 |
| LARSEN, BRIDGET TERE | CHIEF COMPLIANCE OFFICER | 6643130 |
| SCHONEMAN, DEBBRA LYNN | PRESIDENT; BOARD MEMBER | 1980635 |
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 1,985,004,532 |
Disclosures
| Regulatory Event | 141 |
| Civil Event | 1 |
| Arbitration | 50 |
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.
