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Kimetra O. Leacock

Some features on this profile are disabled
CRD#: 4077790
KL

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.

Kimetra Oneka Leacock was a registered financial professional .

Kimetra is a previously registered financial professional and started their career in finance in 2000. Kimetra had worked at 4 firms and has passed the Series 66 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

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®
None

Experience

Past

March 9, 2004 - March 18, 2013

AQUILA DISTRIBUTORS LLC

BD
CRD#: 1706
NEW YORK, NY
Past

April 24, 2001 - October 23, 2002

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

April 13, 2000 - February 14, 2001

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

April 13, 2000 - February 14, 2001

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/25/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/11/2000
General Securities Representative Examination

Current Firm

AD
AQUILA DISTRIBUTORS LLC
AQUILA DISTRIBUTORS LLC | STCM DISTRIBUTORS, INC. | EAST COAST INVESTORS INC. | AQUILA DISTRIBUTORS, INC.

CRD#: 1706 / SEC#: , 8-13173

BD
Terminated by SEC on 12/31/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 12/21/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
AQUILA MANAGEMENT CORPORATIONSHAREHOLDER
DIMAGGIO, JOSEPH PAULTREASURER1359940
FILLMORE, RANDALL SCOTTSENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER4188259
HERRMANN, CONRAD BEADLEMANAGER1370319
HERRMANN, DIANA PARSONSMANAGER2913698
OBRIEN, PAUL GREGORYPRESIDENT, FINANCIAL OPERATIONS PRINCIPAL & OPERATIONS PROFESSIONAL3129605
ROSE, PAMELA CAROLINE MS.SECRETARY1559550
SARKANY, THOMAS THOMASMANAGER1024285

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.

Company Information

AQUILA DISTRIBUTORS LLC

CRD#: 1706

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