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KK

Kimberly J. Kovacs

Some features on this profile are disabled
CRD#: 4258921
KK

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 Johanne Kovacs, who also goes by Kimberly Johanne Garbacz, Kimberly Kovacs Garbacz, Kimberly Johanne Kovacs, was a registered financial professional .

Kimberly is a previously registered financial professional and started their career in finance in 2000. Kimberly had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kimberly Johanne Garbacz | Kimberly Kovacs Garbacz | Kimberly Johanne Kovacs

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.
1.Merit Financial Group d/b/a Merit Financial Advisors. Investment Related. At Registered Location. RIA. Investment Advisor Representative, Licensed Admin. 03/01/2021. 160. 160. Admin.

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

August 16, 2024 - October 18, 2024

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Frisco, TX
Past

March 3, 2021 - October 17, 2024

MERIT FINANCIAL ADVISORS

RIA
CRD#: 142457
FRISCO, TX
Past

February 18, 2021 - August 16, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
FRISCO, TX
Past

June 5, 2017 - February 24, 2020

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
SHERMAN, TX
Past

October 14, 2015 - February 24, 2020

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
SHERMAN, TX
Past

May 2, 2011 - October 13, 2015

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
DURANT, OK
Past

March 20, 2007 - June 2, 2010

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BD
CRD#: 7834
CENTENNIAL, CO
Past

October 6, 2004 - February 20, 2007

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

March 23, 2004 - October 6, 2004

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 6695
NEWPORT BEACH, CA
Past

September 22, 2003 - September 28, 2004

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
NEW YORK CITY, NY
Past

March 27, 2001 - July 18, 2003

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

September 7, 2000 - February 12, 2001

JANUS HENDERSON DISTRIBUTORS US LLC

BD
CRD#: 28832
DENVER, CO

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
IAR
Series 65
Date: 5/18/2017
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/11/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/18/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/6/2000
Investment Company Products/Variable Contracts Representative Examination

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

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

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

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