Kimberly O. Sullivan

OTR GLOBAL LLC

Purchase, NY 10577

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CRD#: 3230746

Professional summary

Kimberly O. Sullivan, who also goes by Kimberly Rana Ongaro, Kimberly Roma Ongaro, is a registered financial advisor currently at OTR GLOBAL LLC located in Purchase, New York.

Kimberly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Kimberly has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kimberly Rana Ongaro | Kimberly Roma Ongaro

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) - RIA

Click below to view Kimberly O. Sullivan's 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

October 23, 2003 - Present

OTR GLOBAL LLC

Office #1: 1 Manhattanville Road Suite 105, Purchase, NY 10577

RIA

CRD#: 123809

Purchase, NY

Past

May 24, 2006 - May 12, 2023

OTR GLOBAL TRADING LLC

CRD#: 138116

PURCHASE, NY

Past

January 1, 2002 - December 31, 2008

OTA LLC

CRD#: 25816

PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(10/23/2003)

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 66

Date: 10/22/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/30/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/22/2001

General Securities Representative Examination

Current Firm

OTR GLOBAL LLC

OFF THE RECORD RESEARCH LLC | OTR GLOBAL LLC

CRD#: 123809 / SEC#:

California

Registered Investment Advisory firm - (5/6/2003 Approved)

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Contact information

Main Address

One Manhattanville Road Suite 105, Purchase, NY 10577

Mailing Address

Phone number

(914) 908-3994

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Kimberly O. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kimberly O. Sullivan's CRS (Customer Relationship Summary).

Certified licenses

Experience

OTR GLOBAL LLC

OTR GLOBAL TRADING LLC

OTA LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/22/2003

Series 63

Date: 7/30/2002

SIE

Date: 10/1/2018

Series 7

Date: 12/22/2001

Current Firm

OTR GLOBAL LLC

Contact information

Documents

Red Flags

Company Information

OTR GLOBAL LLC

TRUST BUT VERIFY

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