Kimberly N. Middlebrook
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 Nicole Middlebrook, who also goes by Kimberly Nicole Frey, Kimberly Frey Middlebrook, Kimberly Middlebrook, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 2001. Kimberly had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2015 - December 11, 2015
LEGEND SECURITIES, INC.
March 24, 2008 - May 20, 2013
UBS FINANCIAL SERVICES INC.
April 5, 2007 - March 20, 2008
MORGAN STANLEY & CO. LLC
April 5, 2007 - March 20, 2008
MORGAN STANLEY & CO. LLC
December 1, 2006 - March 27, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 30, 2006 - March 27, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 10, 2006 - October 27, 2006
JANNEY MONTGOMERY SCOTT LLC
August 29, 2005 - October 27, 2006
JANNEY MONTGOMERY SCOTT LLC
March 10, 2004 - July 22, 2005
J.P. MORGAN SECURITIES LLC
July 1, 2003 - January 15, 2004
WELLS FARGO CLEARING SERVICES, LLC
March 9, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LEGEND SECURITIES, INC.
CRD#: 44952 / SEC#: , 8-50886
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
Red Flags
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