Mickey M. Kimpel

BMO NESBITT BURNS SECURITIES LTD.

Toronto, Ontario, M5X 1A1

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CRD#: 4611049

Professional summary

Mickey Marlene Kimpel, who also goes by Mickey Marlene Brill, Mickey Marlene Saba, is a registered financial professional currently at BMO NESBITT BURNS SECURITIES LTD. .

Mickey is registered as a RR (Registered Representative) and started their career in finance in 2003. Mickey has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mickey Marlene Brill | Mickey Marlene Saba

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) - BD

Click below to view Mickey Marlene Kimpel's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

June 21, 2021 - Present

BMO NESBITT BURNS SECURITIES LTD.

Office #1: C/o Legal Dept. 9th Floor 1 First Canadian Place M5x 1a1, Toronto, Ontario, M5X 1A1

CRD#: 44057

Toronto, Ontario,

Past

March 2, 2012 - August 12, 2021

BMO HARRIS FINANCIAL ADVISORS, INC.

CRD#: 137115

MADISON, WI

Past

January 2, 2003 - August 17, 2012

M&I FINANCIAL ADVISORS, INC

CRD#: 16517

MADISON, WI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(6/21/2021)

Wisconsin
(3/15/2022)

Exams

State Security Law Exam

Series 63

Date: 1/28/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/30/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 2/25/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BMO NESBITT BURNS SECURITIES LTD.

BMO CAPITAL MARKETS/BMO MARCHES DES CAPITAUX | NESBITT BURNS SECURITIES LTD. | BMO NESBITT BURNS VALEURS MOBILIERES LTEE | BMO NESBITT BURNS SECURITIES LTD.

CRD#: 44057 / SEC#: , 8-50538

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

C/o Legal Dept. 9th Floor 1 First Canadian Place M5x 1a1, Toronto, Ontario, M5X 1A1

Mailing Address

320 South Canal Street Floor 7, Chicago, IL 60606

Phone number

(312) 461-3918

Established

Firm type

Corporation

Fiscal year end

October

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
BMO NESBITT BURNS INC.	PARENT OF BMO NESBITT BURNS SECURITIES LTD.
BROWN, WILLIAM A L	DIRECTOR	3144046
FERMAN, BRUCE AARON	CHAIRMAN OF THE BOARD	6304645
GIGLIOTTI, STEPHEN MICHAEL	CHIEF COMPLIANCE OFFICER	3063688
LAKE, STEPHANIE ANN	DIRECTOR	5845009
NARINE, IAN KENNETH	CHIEF FINANCIAL OFFICER	7570073
PERSAUD, DEVANAND NMN	PRESIDENT	4779881
RIGANTE, MAURO	DIRECTOR	8124545

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Mickey M. Kimpel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mickey Marlene Kimpel's CRS (Customer Relationship Summary).

Certified licenses

Experience

BMO HARRIS FINANCIAL ADVISORS, INC.

M&I FINANCIAL ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/28/2003

SIE

Date: 10/1/2018

Series 7

Date: 12/30/2002

Series 14

Date: 1/2/2023

Series 24

Date: 2/25/2005

FINRA

Current Firm

BMO NESBITT BURNS SECURITIES LTD.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BMO NESBITT BURNS SECURITIES LTD.

TRUST BUT VERIFY

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