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KP

Kimberly Perry

FINANCIAL GRAVITY FAMILY OFFICE SERVICES
Newark, CA 94560
Some features on this profile are disabled
CRD#: 5717928
KP

Professional summary

Kimberly Perry, who also goes by Kimberly Jean Harteau, is a registered financial advisor currently at FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC located in Newark, California.

Kimberly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Kimberly has worked at 3 firms and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kimberly Jean Harteau

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.
Kimberly J Perry, CPA a non-investment related company providing accounting payroll, tax preparation, and consulting services since 09/2001. Located at 39899 Balentine Drive Suite 325, Newark, CA 94560. Dedicating 180 hours a month, 3 hours during trading hours. Financial Gravity Enhanced Markets, LLC, an investment related company as an Independent Agent since 03/04/2022. located at 2501 Ranch Road S 620, Suite 110 Austin, TX 78734. Licensed and registered to sell life, accident, and other lines of insurance for Financial Gravity Enhanced Markets, LLC. dedicating approximately 5% of her time on insurance-related activities. Conflict of interest due to additional compensation on these products.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kimberly Perry's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

January 20, 2022 - Present

FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC

Office #1: 39899 Balentine Drive Suite 325, Newark, CA 94560
RIA
CRD#: 316024
Newark, CA
Past

December 13, 2018 - March 16, 2022

HORTER INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 119880
Newark, CA
Past

March 2, 2010 - January 31, 2011

INVESTMENT ADVISORS INTERNATIONAL, INC.

RIA
CRD#: 139233
SAN JOSE, CA

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".
FG
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, INC. | FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC

CRD#: 316024 / SEC#: 801-122258

RIA
Registered Investment Advisory firm - (9/9/2021 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(1/20/2022)
IAR
Texas
(11/18/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/10/2022
Uniform Investment Adviser Law Examination

Current Firm

FG
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, INC. | FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC

CRD#: 316024 / SEC#: 801-122258

RIA
Registered Investment Advisory firm - (9/9/2021 Approved)
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Contact information

Main Address
2501 Ranch Road 620 S Ste 110, Lakeway, TX 78734
Mailing Address
Phone number
(800) 588-3893
Established
Firm type
Fiscal year end
# of Employees
45

SEC notice filing (29 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A BROCHURE (12/20/2024)

Regulatory assets under management

Total Number of Accounts1,745
AUM (Assets Under Management)$ 467,196,918

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.

Company Information

FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC

CRD#: 316024Newark, CA 94560

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