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KC

Kimberlie M. Clark

Some features on this profile are disabled
CRD#: 2897446
KC

Professional summary

Kimberlie Munsie Clark was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kimberlie is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Kimberlie had worked at 5 firms, which includes MIDWOOD SECURITIES INC., ALTRUSHARE SECURITIES LLC, BATTENKILL CAPITAL INC., FIRST PROVIDENCE FINANCIAL GROUP LLC, BILTMORE SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kimberlie Munsie Jenks | Kimberlie Erin Munsie | Kimberlie Munsie

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 27, 2010 - November 22, 2010

MIDWOOD SECURITIES, INC.

BD
CRD#: 21520
NEW YORK, NY
Past

May 15, 2008 - August 27, 2010

ALTRUSHARE SECURITIES LLC

BD
CRD#: 136392
BRIDGEPORT, CT
Past

July 11, 2005 - October 3, 2006

BATTENKILL CAPITAL, INC.

BD
CRD#: 131548
MANCHESTER CENTER, VT
Past

December 10, 1997 - January 13, 1998

FIRST PROVIDENCE FINANCIAL GROUP, LLC

BD
CRD#: 39469
PORT WASHINGTON, NY
Past

September 29, 1997 - November 14, 1997

BILTMORE SECURITIES, INC.

BD
CRD#: 25023
FT. LAUDERDALE, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/29/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/10/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 87
Date: 3/27/2006
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 55
Date: 7/18/2005
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/13/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/26/2005
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/15/2005
Financial and Operations Principal Examination

Current Firm

MS
MIDWOOD SECURITIES, INC.
DUDACK RESEARCH GROUP, A DIVISION OF MIDWOOD SECURITIES | MIDWOOD SECURITIES, INC. | MIDWOOD SECURITIES CO.

CRD#: 21520 / SEC#: , 8-41415

BD
Terminated by SEC on 05/29/2011
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 12/16/1988
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MARCH, EDWARD KENNETHPRESIDENT & CEO; SOLE OWNER - 08-13-2009, ROSFP2100535
BARNETT, DAVID BENJAMINFINOP1669970
PORTAS, STEPHEN JOHNCHIEF COMPLIANCE OFFICER2482930

Disclosures

Regulatory Event3

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.

Company Information

MIDWOOD SECURITIES, INC.

CRD#: 21520

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