Kimberly O. Sullivan
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 O. Sullivan, who also goes by Kimberly Rana Ongaro, Kimberly Roma Ongaro, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 2002. Kimberly had worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2006 - May 12, 2023
OTR GLOBAL TRADING LLC
October 23, 2003 - May 8, 2026
OTR GLOBAL LLC
January 1, 2002 - December 31, 2008
OTA LLC
State Registrations and Notice Filings
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Exams
Current Firm
OTR GLOBAL TRADING LLC
CRD#: 138116 / SEC#: , 8-67147
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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