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KS

Kimberly S. Spacek

3ICO SECURITIES LLC
CONSHOHOCKEN, PA 19428
Some features on this profile are disabled
CRD#: 3048880
KS

Professional summary

Kimberly Smith Spacek, who also goes by Kim Ann Smith, Kimberly Ann Smith, Kimberly Smith, is a registered financial professional currently at 3ICO SECURITIES LLC located in Conshohocken, Pennsylvania.

Kimberly is registered as a RR (Registered Representative) and started their career in finance in 2002. Kimberly has worked at 3 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kim Ann Smith | Kimberly Ann Smith | Kimberly Smith

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) - BD

Click below to view Kimberly Smith Spacek's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

December 1, 2025 - Present

3ICO SECURITIES LLC

Office #1: 101 W. Elm Street Suite 400b, Conshohocken, PA 19428
BD
CRD#: 173648
CONSHOHOCKEN, PA
Past

August 20, 2016 - October 28, 2021

OWL CREEK ASSET MANAGEMENT MARKETING, LLC

BD
CRD#: 38008
NEW YORK, NY
Past

July 2, 2002 - October 14, 2002

M.H. DAVIDSON & CO., L.L.C.

BD
CRD#: 13708
NEW YORK, NY

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
Series 63
Date: 9/16/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/20/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/20/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 5/23/1998
National Commodity Futures Examination
SRO Registrations
RR
FINRA

Current Firm

3S
3ICO SECURITIES LLC
3ICO SECURITIES LLC | MAINLINE SECURITIES LLC

CRD#: 173648 / SEC#: , 8-69544

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
101 W. Elm Street Suite 400b, Conshohocken, PA 19428
Mailing Address
101 W. Elm Street Suite 400b, Conshohocken, PA 19428
Phone number
(781) 771-6032
Established
Delaware since 08/18/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (29 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
3ICO SECURITIES HOLDINGS, LLCSOLE MEMBER
BRAUNFELD, ROGER JONATHANNON-PRINCIPAL MANAGER
DAUSCH, JUSTIN CARTERCOO, PRINCIPAL MANAGER/REGISTERED SECURITIES PRINCIPAL6919209
FLANAGAN, LAURA LEENON-PRINCIPAL MANAGER6447979
KRIEWALD, JESSICAFINOP7052634
RITTERSHAUSEN, DONNA MARIECCO, PRINCIPAL MANAGER/REGISTERED SECURITIES PRINCIPAL1480201
ROYER, JOHN E JR.NON-PRINCIPAL MANAGER

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

3ICO SECURITIES LLC

CRD#: 173648Conshohocken, PA 19428

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