Kimberly Christine Velasco
CFP®Professional Summary
Kimberly Christine Velasco, CFP®, who also goes by Kimberly C. Nguyen, Kimberly Christine Nguyen, is a registered financial advisor currently at THE DALA GROUP, LLC located in Hoffman Estates, Illinois. Kimberly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Kimberly has worked at 4 firms and has passed the Series 65 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kimberly C. Nguyen, Kimberly Christine Nguyen
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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.
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Credentials
Years of Experience
12 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
THE DALA GROUP, LLC
Contact Information
Main Address
2800 W. Higgins Rd. Ste. 895, Hoffman Estates, IL 60169Phone Number
(847) 485-0248# of Employees
11SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
1,080AUM (Assets Under Management)
$265,216,193Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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J.P. MORGAN SECURITIES LLC
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Primary Firm SEC Registration
THE DALA GROUP, LLC
State Registrations and Notice Filings
(1/29/2024)
(1/29/2024)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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J.P. MORGAN SECURITIES LLC
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CRS (Client Relationship Summary) - RIA
Click below to view Kimberly Christine Velasco's CRS (Customer Relationship Summary).
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