Kimberly A. Zajic
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 Anne Zajic, who also goes by Kim Hafkenscheid, Kimberly Anne Hafkenscheid, Kimberly Anne Maranto, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 2006. Kimberly had worked at 4 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
October 15, 2012 - November 30, 2018
PURSHE KAPLAN STERLING INVESTMENTS
June 1, 2009 - October 25, 2012
MORGAN STANLEY
June 1, 2009 - October 25, 2012
MORGAN STANLEY
February 19, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 15, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
October 3, 2006 - February 27, 2008
UBS FINANCIAL SERVICES INC.
February 3, 2006 - February 27, 2008
UBS FINANCIAL SERVICES 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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
