Ryan M. Kimura
Professional summary
Ryan M Kimura was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ryan is a previously registered financial advisor and started their career in finance in 1999. Prior to being barred, Ryan had worked at 3 firms, which includes SUN LIFE FINANCIAL DISTRIBUTORS INC., MORGAN STANLEY DW INC., ABEL-BEHNKE CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2006 - December 4, 2007
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
August 4, 2000 - May 8, 2006
MORGAN STANLEY DW INC.
September 22, 1999 - May 8, 2006
MORGAN STANLEY DW INC.
August 23, 1999 - September 24, 1999
ABEL-BEHNKE CORPORATION
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
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
CRD#: 5496 / SEC#: , 8-16198
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUN LIFE FINANCIAL (U.S.) HOLDINGS, INC. | 100% SHAREHOLDER | |
| DAVIS, SCOTT | DIRECTOR | |
| HAYNES, NEIL LEONARD | DIRECTOR | 6405143 |
| HEALY, DAVID JAMES | PRESIDENT & DIRECTOR | 4103309 |
| KALLAS, COLLEEN LOUISE | SECRETARY | 6910605 |
| MURRAY, THOMAS JOSEPH JR | CHIEF COMPLIANCE OFFICER | 1894655 |
| WORMUTH, LAURA MANDOLINI | FINANCIAL/OPERATIONS PRINCIPAL AND TREASURER | 6063656 |
Red Flags
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