Kimberly S. Potterfield
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 Sue Potterfield, who also goes by Kimberly S Potterfield, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 2011. Kimberly had worked at 6 firms and has passed the Series 66, Series 63, 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
October 6, 2017 - August 17, 2018
PURSHE KAPLAN STERLING INVESTMENTS
October 18, 2016 - October 8, 2017
D.A. DAVIDSON & CO.
October 18, 2016 - October 8, 2017
D.A. DAVIDSON & CO.
May 18, 2015 - October 14, 2016
CUSO FINANCIAL SERVICES, L.P.
May 18, 2015 - October 14, 2016
CUSO FINANCIAL SERVICES, L.P.
May 14, 2012 - October 16, 2014
TD AMERITRADE, INC.
May 14, 2012 - October 16, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 2, 2012 - October 16, 2014
TD AMERITRADE, INC.
June 28, 2011 - July 20, 2011
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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