Kimberly G. Matthews
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 Gaye Matthews, who also goes by Kimberly Gaye Matthews, Kimberly Gaye Scott, Kimberly Gaye White, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 2004. Kimberly had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2024 - October 31, 2025
SUMMIT GLOBAL INVESTMENTS, LLC
January 6, 2012 - December 31, 2023
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 6, 2012 - December 31, 2023
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 19, 2011 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
March 5, 2004 - January 6, 2012
WORLD GROUP SECURITIES, INC.
Primary Firm SEC Registration
SUMMIT GLOBAL INVESTMENTS, LLC
CRD#: 157091 / SEC#: 801-76631
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
SUMMIT GLOBAL INVESTMENTS, LLC
CRD#: 157091 / SEC#: 801-76631
Contact information
SEC notice filing (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,923 |
| AUM (Assets Under Management) | $ 1,921,141,101 |
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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