Kimberly O. Selby
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 O Selby, CFP®, who also goes by Kimberly Ann Ofria, Kimberly Ofria Selby, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 2005. Kimberly had worked at 9 firms and has passed the Series 63, 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
July 13, 2018 - April 12, 2019
FIDELITY PERSONAL AND WORKPLACE ADVISORS
March 12, 2018 - July 13, 2018
STRATEGIC ADVISERS LLC
February 28, 2018 - April 8, 2019
FIDELITY BROKERAGE SERVICES LLC
January 26, 2017 - January 18, 2018
CHARLES SCHWAB & CO., INC.
March 30, 2015 - December 31, 2015
CHARLES SCHWAB & CO., INC.
March 3, 2015 - January 18, 2018
CHARLES SCHWAB & CO., INC.
August 12, 2014 - January 30, 2015
WINDHAVEN INVESTMENT MANAGEMENT, INC.
October 20, 2010 - October 3, 2011
POWERS CAPITAL INVESTMENTS, INC.
August 24, 2009 - November 21, 2009
ONEAMERICA SECURITIES, INC.
January 29, 2009 - August 12, 2009
SAGENT WEALTH MANAGEMENT
September 12, 2005 - September 5, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 24, 2005 - September 5, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
