Kimberly J. Misaraca
Professional summary
Kimberly Jean Misaraca was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kimberly is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Kimberly had worked at 6 firms, which includes KIMBERLY SECURITIES INC., SECWEST SECURITIES INC., THE CONCORD EQUITY GROUP LLC, W.A. CAPITAL MARKETS, LCP CAPITAL CORP., ROYAL HUTTON SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2001 - September 17, 2002
KIMBERLY SECURITIES, INC.
November 23, 1999 - January 11, 2001
KIMBERLY SECURITIES, INC.
November 16, 1999 - April 13, 2000
SECWEST SECURITIES, INC.
July 1, 1999 - November 3, 1999
THE CONCORD EQUITY GROUP, LLC
November 12, 1998 - May 21, 1999
W.A. CAPITAL MARKETS
January 12, 1998 - December 23, 1998
LCP CAPITAL CORP.
August 8, 1997 - December 15, 1997
ROYAL HUTTON SECURITIES CORP.
State Registrations and Notice Filings
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Exams
Current Firm
KIMBERLY SECURITIES, INC.
CRD#: 19241 / SEC#: , 8-37321
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 6 |
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