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RK

Robert M. Kimball

Some features on this profile are disabled
CRD#: 6214483
RK

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.

Robert Michael Kimball was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 2013. Robert had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 24, 2017 - March 6, 2017

LGA CAPITAL

BD
CRD#: 282415
ROCKVILLE, MD
Past

August 7, 2015 - August 3, 2016

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

October 6, 2014 - December 16, 2015

MCADAM LLC

RIA
CRD#: 170914
PHILADELPHIA, PA
Past

October 3, 2014 - June 23, 2015

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Philadelphia, PA
Past

May 30, 2014 - October 3, 2014

VOYA FINANCIAL ADVISORS, INC.

RIA
CRD#: 2882
PHILADELPHIA, PA
Past

April 14, 2014 - October 3, 2014

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
PHILADELPHIA, PA
Past

September 4, 2013 - February 4, 2014

HENNION & WALSH, INC.

BD
CRD#: 25766
PARSIPPANY, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/12/2014
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/18/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/6/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/4/2013
General Securities Representative Examination

Current Firm

LC
LGA CAPITAL
LGA CAPITAL | LGA CAPITAL CRE, LLC

CRD#: 282415 / SEC#: , 8-69715

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
6110 Executive Boulevard Suite 1050, Rockville, MD 20852
Mailing Address
6110 Executive Boulevard Suite 1050, Rockville, MD 20852
Phone number
(301) 691-5009
Established
Maryland since 10/30/2015
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
GERSTEIN, JASON PHILIPMEMBER
BASKETT, ERINPRINCIPAL/ CFO4538604
BEVAUN, MARLONFINOP6259795
DOLAN, ERIK JCHIEF COMPLIANCE OFFICER3161467

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

LGA CAPITAL

CRD#: 282415

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