Kimberly C. Lecky
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 Connors Lecky, who also goes by Kimberly Ann Connors, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 2007. Kimberly had worked at 6 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
January 12, 2015 - July 13, 2016
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
August 8, 2012 - June 27, 2014
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
September 1, 2011 - July 6, 2012
NUVEEN ASSET MANAGEMENT, LLC
January 5, 2011 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
January 5, 2011 - June 28, 2012
NUVEEN SECURITIES, LLC
June 1, 2009 - December 2, 2010
MORGAN STANLEY
June 1, 2009 - December 2, 2010
MORGAN STANLEY
February 26, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 24, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS 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
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
CRD#: 25567 / SEC#: , 8-41811
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
| Civil Event | 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.
