Kimberly A. Graham
Professional summary
Kimberly Ann Graham, who also goes by Kim Graham, is a registered financial professional currently at SOUTHEAST INVESTMENTS, N.C., INC. located in Charlotte, North Carolina.
Kimberly is registered as a RR (Registered Representative) and started their career in finance in 1999. Kimberly has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kimberly Ann Graham's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 11, 2013 - Present
SOUTHEAST INVESTMENTS, N.C., INC.
Office #1: 820 Tyvola Road, Suite 104, Charlotte, NC 28217January 25, 2013 - November 18, 2014
SOUTHEAST INVESTMENTS, N.C., INC.
May 1, 2007 - August 1, 2012
MSI FINANCIAL SERVICES, INC.
March 26, 2007 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
March 26, 2007 - August 1, 2012
MSI FINANCIAL SERVICES, INC.
December 18, 2006 - March 23, 2007
OSAIC FS, INC.
December 18, 2006 - March 23, 2007
OSAIC FS, INC.
April 6, 2004 - December 31, 2004
NEBS FINANCIAL SERVICES, INC.
November 16, 1999 - January 8, 2004
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/8/2014)
(1/11/2013)
(4/14/2014)
Exams
FINRA
Current Firm
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
Red Flags
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