Kimberly J. Haris
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 Joelle Haris, who also goes by Kimberly Joelle Cahail, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 2002. Kimberly had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2024 - August 6, 2024
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
March 15, 2021 - July 7, 2021
TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.
February 19, 2021 - July 7, 2021
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
February 19, 2021 - June 8, 2026
FRANKLIN DISTRIBUTORS, LLC
January 28, 2008 - July 7, 2021
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
October 6, 2002 - July 23, 2007
PRINCIPAL FUNDS DISTRIBUTOR, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
CRD#: 7325 / SEC#: , 8-1369
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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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