Scott M. Kimball
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.
Scott M Kimball was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2003. Scott had worked at 3 firms and has passed the Series 66 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
April 11, 2012 - December 31, 2017
LOOP CAPITAL ASSET MANAGEMENT
September 8, 2003 - February 24, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 27, 2003 - February 24, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 20, 2003 - April 21, 2003
MILLENNIUM BROKERAGE, L.L.C.
Primary Firm SEC Registration
LOOP CAPITAL ASSET MANAGEMENT
CRD#: 149280 / SEC#: 801-69873
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
LOOP CAPITAL ASSET MANAGEMENT
CRD#: 149280 / SEC#: 801-69873
Contact information
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 84 |
| AUM (Assets Under Management) | $ 9,850,211,508 |
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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