Kimberly K. Follmuth
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 Kaye Follmuth, who also goes by Kim Kaye Follmuth, 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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2010 - October 15, 2015
BLACKROCK FUND ADVISORS
November 9, 2010 - October 15, 2015
BLACKROCK EXECUTION SERVICES
May 2, 2009 - July 8, 2010
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - July 8, 2010
CHASE INVESTMENT SERVICES CORP.
August 29, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
August 29, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
August 22, 2007 - August 25, 2008
OSAIC FA, INC.
August 22, 2007 - August 25, 2008
OSAIC FA, INC.
Primary Firm SEC Registration
BLACKROCK FUND ADVISORS
CRD#: 105247 / SEC#: 801-22609
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
BLACKROCK FUND ADVISORS
CRD#: 105247 / SEC#: 801-22609
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 541 |
| AUM (Assets Under Management) | $ 3,535,403,132,528 |
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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