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KB

Kimberly A. Bao

COMMERCE BROKERAGE SERVICES
St Louis, MO 63105
Some features on this profile are disabled
CRD#: 6394449
KB

Professional summary

Kimberly Anne Bao, who also goes by Kimberly Anne Gaul, is a registered financial professional currently at COMMERCE BROKERAGE SERVICES, INC. located in St Louis, Missouri and L.J. HART AND COMPANY located in St. Louis, Missouri.

Kimberly is registered as a RR (Registered Representative) and started their career in finance in 2015. Kimberly has worked at 2 firms and has passed the SIE, Series 52 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kimberly Anne Gaul

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) - BD

Click below to view Kimberly Anne Bao'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

May 4, 2015 - Present

COMMERCE BROKERAGE SERVICES, INC.

Office #1: 8001 Forsyth Blvd, St Louis, MO 63105
BD
CRD#: 17140
St Louis, MO
Current

June 13, 2023 - Present

L.J. HART AND COMPANY

Office #1: 8001 Forsyth Blvd, St. Louis, MO 63105
BD
CRD#: 28867
St. Louis, MO

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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 52
Date: 5/4/2015
Municipal Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/11/2016
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LH
L.J. HART AND COMPANY
L.J. HART AND COMPANY

CRD#: 28867 / SEC#: , 8-43976

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

Main Address
8000 Forsyth Blvd, St. Louis, MO 63105
Mailing Address
8000 Forsyth Blvd Clhart, St. Louis, MO 63105
Phone number
(636) 537-9939
Established
Missouri since 11/12/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
COMMERCE BANKSOLE STOCKHOLDER
HARMON, THOMAS DARINCHAIRMAN7787415
PISARKIEWICZ, THOMAS JOHNPRESIDENT/CEO/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/TREASURER5173363
REECE, JOSEPH STEVENVICE PRESIDENT/CHIEF COMPLIANCE OFFICER2227282
ROWE, MARGARET MCSHANECORPORATE SECRETARY / GENERAL COUNSEL7576973
SWANSON, ERIK ANDREWEXECUTIVE VICE PRESIDENT4170204

Disclosures

Regulatory Event4

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

L.J. HART AND COMPANY

CRD#: 28867St Louis, MO 63105

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