Kimberly J. Moody
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 Jean Moody, who also goes by Kimberly J Moody, Kimberly Moody, Kimberly Jean Stubbs, Kimberly Jean Urquhart, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 1996. Kimberly had worked at 9 firms and has passed the Series 65, Series 63, SIE 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
Experience
September 30, 2016 - November 23, 2016
MML INVESTORS SERVICES, LLC
April 28, 2008 - August 11, 2015
ALLSTATE FINANCIAL SERVICES, LLC
July 20, 2007 - January 10, 2008
CHARLES SCHWAB & CO., INC.
July 20, 2007 - January 10, 2008
CHARLES SCHWAB & CO., INC.
June 6, 2006 - June 5, 2007
WELLS FARGO CLEARING SERVICES, LLC
May 30, 2006 - June 5, 2007
WELLS FARGO CLEARING SERVICES, LLC
July 6, 2000 - August 11, 2004
LEGG MASON WOOD WALKER, INCORPORATED
June 13, 2000 - August 11, 2004
LEGG MASON WOOD WALKER, INCORPORATED
May 5, 1999 - June 19, 2000
SCOTT & STRINGFELLOW, LLC
September 3, 1997 - May 5, 1999
SCOTT & STRINGFELLOW, INC.
January 31, 1997 - September 9, 1997
CITIGROUP GLOBAL MARKETS INC.
October 10, 1996 - December 2, 1996
FIRST UNION CAPITAL MARKETS CORP.
Primary Firm SEC Registration
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
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
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSMUTUAL HOLDING LLC | MEMBER | |
| BAUER, THOMAS K | CHIEF TECHNOLOGY OFFICER | 4759472 |
| BOWMAN, VAUGHN CHARLES | CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHAIRMAN OF THE BOARD | 4725044 |
| CRADDOCK, GEOFFREY | DIRECTOR | 1444771 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MALLEE, JOSEPH PATRICK III | DIRECTOR | 4231618 |
| MINK, DAVID MYERS | VICE PRESIDENT AND CHIEF OPERATIONS OFFICER | 2606831 |
| RANDALL, GEORGE ASHLEY IV | FIELD RISK OFFICER | 4881503 |
| REILLY, JENNIFER RHODES | DIRECTOR | 3243154 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
| ROGERS REID, COURTNEY MCKENZIE | CHIEF COMPLIANCE OFFICER | 5374512 |
| VACCARO, JOHN ARTHUR | CHAIRMAN EMERITUS | 2264004 |
| WILKINSON, MARY BEA | VICE PRESIDENT | 2159909 |
Regulatory assets under management
| Total Number of Accounts | 392,820 |
| AUM (Assets Under Management) | $ 90,021,969,258 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 1 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/24/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 12/19/2022 |
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.
