Kimberly A. Arnold
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 Arnold, who also goes by Kim A Arnold, Kimberly A Arnold, Kimberly Ann Dodd, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 2010. Kimberly had worked at 5 firms and has passed the Series 66, 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
November 30, 2017 - November 19, 2021
NEWEDGE SECURITIES, LLC
May 13, 2016 - November 30, 2017
HEFREN-TILLOTSON, INC.
April 26, 2016 - November 30, 2017
HEFREN-TILLOTSON, INC.
October 27, 2014 - February 11, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
October 27, 2014 - February 11, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
September 11, 2013 - October 14, 2014
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
May 13, 2010 - October 14, 2014
CAMBRIDGE INVESTMENT RESEARCH, INC.
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
NEWEDGE SECURITIES, LLC
CRD#: 10674 / SEC#: , 8-27663
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWEDGE CAPITAL GROUP, LLC | SHAREHOLDER | |
| BANCO, JOSEPH FRANKLIN JR | PRINCIPAL FINANCIAL OFFICER AND CFO | 2850198 |
| CHAFFEE, HAROLD GERARD | CHIEF COMPLIANCE OFFICER | 2905661 |
| FONG, SARAH F | VICE PRESIDENT | 2937709 |
| JENKINS, WILLIAM HENRY | MANAGING DIRECTOR - SUPERVISION | 3004337 |
| SCHNIER, DAVID JASON | GENERAL COUNSEL AND SECRETARY | 5110928 |
| SESLER, JEAN ANN | PRINCIPAL OPERATIONS OFFICER | 1809578 |
| SMITH, KYLE PETER | PRESIDENT | 2142563 |
Disclosures
| Regulatory Event | 9 |
| Civil 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
