Kimberly A. La Frenais

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CRD#: 5088102

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 La Frenais was a registered financial professional .

Kimberly is a previously registered financial professional and started their career in finance in 2007. Kimberly had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 15, 2020 - November 9, 2023

PRINCIPLE WEALTH

RIA

CRD#: 290180

MADISON, CT

Past

February 1, 2016 - October 20, 2020

ESSEX FINANCIAL SERVICES, INC.

RIA

CRD#: 127549

ESSEX, CT

Past

April 12, 2013 - October 20, 2020

ESSEX FINANCIAL SERVICES, INC.

CRD#: 127549

ESSEX, CT

Past

March 20, 2008 - September 17, 2012

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

NEW LONDON, CT

Past

March 20, 2008 - September 17, 2012

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NEW LONDON, CT

Past

January 1, 2008 - March 25, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MADISON, CT

Past

January 1, 2008 - March 25, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MADISON, CT

Past

November 19, 2007 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

MADISON, CT

Past

September 12, 2007 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

MADISON, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PRINCIPLE WEALTH

PRINCIPLE WEALTH | PRINCIPLE WEALTH PARTNERS LLC

CRD#: 290180 / SEC#: 801-111911

RIA

Registered Investment Advisory firm - (10/20/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/17/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/10/2007

General Securities Representative Examination

Current Firm

PRINCIPLE WEALTH

PRINCIPLE WEALTH | PRINCIPLE WEALTH PARTNERS LLC

CRD#: 290180 / SEC#: 801-111911

RIA

Registered Investment Advisory firm - (10/20/2017 Approved)

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Contact information

Main Address

670 Boston Post Road, Madison, CT 06443

Mailing Address

Po Box 1007, Madison, CT 06443

Phone number

(203) 318-8892

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (4/21/2025)

Regulatory assets under management

Total Number of Accounts	3,732
AUM (Assets Under Management)	$ 2,658,955,480

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/26/2025	Cover Page	Report
11/13/2024	Cover Page	Report
05/09/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Kimberly A. La Frenais

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ESSEX FINANCIAL SERVICES, INC.

ESSEX FINANCIAL SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

PRINCIPLE WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 11/17/2007

SIE

Date: 10/1/2018

Series 7

Date: 9/10/2007

Current Firm

PRINCIPLE WEALTH

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PRINCIPLE WEALTH

TRUST BUT VERIFY

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