Kimberly A. Sharp
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 Ann Sharp, who also goes by Kimberly Ann Preston, Kimberly Ann Rossum, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 2001. Kimberly had worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2024 - February 27, 2025
YOUNG AMERICA CAPITAL, LLC
October 25, 2019 - January 13, 2023
PFS INVESTMENTS INC.
July 1, 2003 - May 4, 2016
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - May 4, 2016
WELLS FARGO CLEARING SERVICES, LLC
November 18, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 18, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
YOUNG AMERICA CAPITAL, LLC
CRD#: 150443 / SEC#: , 8-68260
Contact information
FINRA licenses (30 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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