Thomas A. Kimberly
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.
Thomas Alesbury Kimberly was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2013. Thomas had worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 24, 2014 - December 12, 2016
UPSIDE FINANCIAL, LLC
February 12, 2014 - March 13, 2015
UPSIDE BROKERAGE, LLC
June 11, 2013 - February 11, 2015
UPSIDE BROKERAGE, LLC
State Registrations and Notice Filings
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Exams
Current Firm
UPSIDE FINANCIAL, LLC
CRD#: 173084 / SEC#: 801-78119
Contact information
Red Flags
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