Kimberly D. Johnson
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 Deann Johnson was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 1997. Kimberly had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2018 - January 7, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
January 6, 2014 - July 13, 2018
STRATEGIC ADVISERS LLC
November 20, 2013 - January 7, 2025
FIDELITY BROKERAGE SERVICES LLC
July 18, 2012 - September 6, 2012
EDWARD JONES
May 30, 2012 - September 6, 2012
EDWARD JONES
February 9, 2011 - May 24, 2012
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
November 22, 2006 - May 21, 2009
CHARLES SCHWAB & CO., INC.
September 26, 2005 - May 21, 2009
CHARLES SCHWAB & CO., INC.
November 16, 1999 - January 25, 2005
CHARLES SCHWAB & CO., INC.
October 1, 1998 - October 27, 1998
YOUR DISCOUNT BROKER, INC.
November 10, 1997 - October 19, 1998
MORGAN STANLEY DEAN WITTER ONLINE INC.
September 9, 1997 - October 31, 1997
IDS LIFE INSURANCE COMPANY
September 9, 1997 - October 31, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
