David R. Kimm
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.
David Robert Kimm was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1981. David had worked at 15 firms and has passed the Series 63, SIE, Series 7, Series 27, Series 4, Series 8 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
September 19, 2017 - September 10, 2018
SCOTTRADE, INC.
February 12, 2010 - April 5, 2019
TD AMERITRADE CLEARING, INC.
November 18, 2009 - April 5, 2019
TD AMERITRADE, INC.
July 26, 2005 - October 6, 2006
FIRST CLEARING, LLC
April 6, 2005 - October 5, 2009
WELLS FARGO CLEARING SERVICES, LLC
April 5, 2005 - October 5, 2009
WELLS FARGO CLEARING SERVICES, LLC
June 22, 2004 - January 4, 2005
MAIN STREET MANAGEMENT COMPANY
September 23, 2003 - March 30, 2005
LPL FINANCIAL LLC
September 22, 2003 - March 30, 2005
LPL FINANCIAL LLC
May 10, 2001 - October 6, 2003
NATIONAL FINANCIAL SERVICES LLC
August 14, 2000 - October 6, 2003
FIDELITY BROKERAGE SERVICES LLC
September 18, 1995 - August 14, 2000
NATIONAL FINANCIAL SERVICES LLC
November 30, 1993 - September 20, 1995
FINANCIAL SQUARE PARTNERS
September 25, 1989 - August 27, 1993
UBS ASSET MANAGEMENT (US) INC.
April 29, 1986 - December 13, 1988
HERITAGE FINANCIAL INVESTMENTS CORPORATION
January 3, 1986 - May 1, 1986
HALL SECURITIES CORPORATION
September 4, 1984 - November 21, 1985
WINTHROP SECURITIES CO., INC.
January 19, 1981 - September 28, 1984
UBS FINANCIAL SERVICES INC.
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 8
Date: 5/4/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
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.
