Kimberly A. Jarnot
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 Ann Jarnot, who also goes by Danielle Kimberly Jarnot, Danielle Kimberly Moore, Kimberly Ann Moore, Danielle Kimberly Moore-thomas, Kimberly Ann Moore-thomas, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 2015. Kimberly had worked at 3 firms and has passed the Series 63, SIE, Series 55, 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
August 2, 2017 - June 1, 2018
WEEDEN & CO.L.P.
December 2, 2016 - May 9, 2017
CLEARPOOL EXECUTION SERVICES, LLC
July 31, 2015 - October 27, 2016
AQUA SECURITIES L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 11/2/2015
Limited Representative-Equity Trader ExamCurrent Firm
WEEDEN & CO.L.P.
CRD#: 16835 / SEC#: 801-57163, 8-37267
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIPER JAFFRAY COMPANIES | 100% OWNER | |
| MCCAGUE, ANNCHARLOTTE | CHIEF COMPLIANCE OFFICER | 1108448 |
Disclosures
| Regulatory Event | 13 |
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.
