Kimberley A. Last
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.
Kimberley Allen Last, CFP®, CLU®, who also goes by Kimberly Allen Last, Kimberly Last, Kim Sledge, was a registered financial professional .
Kimberley is a previously registered financial professional and started their career in finance in 1998. Kimberley had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2003
Experience
August 21, 2017 - November 4, 2024
WESTERN INTERNATIONAL SECURITIES, INC.
August 21, 2017 - November 4, 2024
WESTERN INTERNATIONAL SECURITIES, INC.
May 1, 2014 - August 21, 2017
FINANCIAL WEST GROUP
May 1, 2014 - August 21, 2017
FINANCIAL WEST GROUP
January 3, 2011 - May 6, 2014
INTEGRITY ALLIANCE, LLC.
January 3, 2011 - May 6, 2014
INTEGRITY ALLIANCE, LLC.
March 31, 2006 - December 31, 2010
STIFEL INDEPENDENT ADVISORS, LLC
March 31, 2006 - December 31, 2010
STIFEL INDEPENDENT ADVISORS, LLC
February 3, 2000 - April 12, 2006
EQUITABLE ADVISORS, LLC
April 16, 1998 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 16, 1998 - April 12, 2006
EQUITABLE ADVISORS, 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
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
