Kimberly R. O'connor
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 Rochelle O'connor, who also goes by Kimberly Rachel Oconnor, Kimberly Rochelle Schneider, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 1998. Kimberly had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 2008 - December 12, 2017
ALPS DISTRIBUTORS, INC.
September 11, 2007 - November 28, 2008
HEARTLAND ADVISORS, INC.
August 1, 2007 - October 1, 2008
ALPS DISTRIBUTORS, INC.
December 21, 2001 - July 31, 2007
HEARTLAND INVESTOR SERVICES, LLC
October 20, 1998 - December 21, 2001
HEARTLAND ADVISORS, INC.
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
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
