Kimberlee E. Levy
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.
Kimberlee Elizabeth Levy, who also goes by Kimberlee Elizabeth Rubin, was a registered financial professional .
Kimberlee is a previously registered financial professional and started their career in finance in 2002. Kimberlee had worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 6, Series 14, Series 4, 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
July 12, 2022 - December 31, 2023
AMERICAN ALTERNATIVE CAPITAL, LLC
May 20, 2013 - December 31, 2023
CONCORDE ASSET MANAGEMENT, LLC
April 22, 2013 - December 31, 2023
CONCORDE INVESTMENT SERVICES, LLC
July 23, 2010 - May 6, 2013
CIG ASSET MANAGEMENT, INC.
January 13, 2009 - April 19, 2013
CIG SECURITIES
July 4, 2002 - December 4, 2008
FUNDS DISTRIBUTOR, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
AMERICAN ALTERNATIVE CAPITAL, LLC
CRD#: 309956 / SEC#: , 8-70651
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
