Kimberly Matzen
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 Matzen, who also goes by Kimberly Danis, Danis, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 2000. Kimberly had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 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
September 28, 2021 - December 31, 2023
CADARET, GRANT & CO., INC.
September 24, 2021 - December 31, 2023
CADARET, GRANT & CO., INC.
February 2, 2016 - February 26, 2021
LPL FINANCIAL LLC
February 2, 2016 - February 26, 2021
LPL FINANCIAL LLC
February 3, 2015 - February 2, 2016
CETERA INVESTMENT ADVISERS LLC
January 30, 2015 - February 2, 2016
CETERA INVESTMENT SERVICES LLC
May 15, 2012 - February 2, 2015
LPL FINANCIAL LLC
May 15, 2012 - February 2, 2015
LPL FINANCIAL LLC
July 10, 2006 - May 15, 2012
HSBC SECURITIES (USA) INC.
January 1, 2005 - May 15, 2012
HSBC SECURITIES (USA) INC.
February 1, 2000 - January 1, 2005
HSBC BROKERAGE (USA) INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
