Kimberly A. Griego-kiel

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CRD#: 3165735

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 Ann Griego-kiel, AIF®, who also goes by Kimberly Ann Keeler, Kim Kiel, Kimberly Ann Kiel, was a registered financial professional .

Kimberly is a previously registered financial professional and started their career in finance in 2000. Kimberly had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kimberly Ann Keeler | Kim Kiel | Kimberly Ann Kiel

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.

1. Paid Speaker. 2. 1 hour per month or less, may be during trading hours. Speaking topics can be investment related, related to current business relationships.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Past

April 25, 2013 - February 28, 2024

HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.

RIA

CRD#: 164970

SANTA FE, NM

Past

September 10, 2007 - July 19, 2013

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

SANTA FE, NM

Past

March 5, 2002 - December 31, 2007

FIRST AFFIRMATIVE FINANCIAL NETWORK LLC

RIA

CRD#: 109036

SANTA FE, NM

Past

July 2, 2001 - July 19, 2013

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

SANTA FE, NM

Past

September 6, 2000 - June 29, 2001

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.

HORIZONS SUSTAINABLE FINANCIAL SERVICES | KIEL, LTD. | HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.

CRD#: 164970 / SEC#: 801-120599

RIA

Registered Investment Advisory firm - (3/25/2021 Approved)

California

Registered Investment Advisory firm - (4/25/2021 Terminated)

Colorado

Registered Investment Advisory firm - (3/26/2021 Terminated)

New Mexico

Registered Investment Advisory firm - (3/26/2021 Terminated)

Oregon

Registered Investment Advisory firm - (8/6/2021 Terminated)

Texas

Registered Investment Advisory firm - (3/26/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/30/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/16/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/4/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/3/2001

General Securities Principal Examination

Current Firm

HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.

HORIZONS SUSTAINABLE FINANCIAL SERVICES | KIEL, LTD. | HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.

CRD#: 164970 / SEC#: 801-120599

RIA

Registered Investment Advisory firm - (3/25/2021 Approved)

California

Registered Investment Advisory firm - (4/25/2021 Terminated)

Colorado

Registered Investment Advisory firm - (3/26/2021 Terminated)

New Mexico

Registered Investment Advisory firm - (3/26/2021 Terminated)

Oregon

Registered Investment Advisory firm - (8/6/2021 Terminated)

Texas

Registered Investment Advisory firm - (3/26/2021 Terminated)

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Contact information

Main Address

535 Cerrillos Road Suite A2, Santa Fe, NM 87501

Mailing Address

Phone number

(505) 982-9661

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/24/2025)

Regulatory assets under management

Total Number of Accounts	714
AUM (Assets Under Management)	$ 131,873,325

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.

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Firm Stability Insights

Kimberly A. Griego-kiel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

FIRST AFFIRMATIVE FINANCIAL NETWORK LLC

CAMBRIDGE INVESTMENT RESEARCH, INC.

WALNUT STREET SECURITIES, INC.

Primary Firm SEC Registration

HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/30/2002

Series 63

Date: 8/16/2000

Series 7

Date: 9/4/2000

Series 24

Date: 2/3/2001

Current Firm

HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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