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KY

Kimball L. Young

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CRD#: 724903
KY

Professional summary

Kimball Lee Young was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kimball is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Kimball had worked at 4 firms, which includes AQUILA DISTRIBUTORS LLC, LRB PUBLIC FINANCE ADVISORS INC., WELLS FARGO CLEARING SERVICES LLC, BOETTCHER & COMPANY INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kimball L Young

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

August 13, 2001 - July 2, 2009

AQUILA DISTRIBUTORS LLC

BD
CRD#: 1706
NEW YORK, NY
Past

September 26, 1996 - July 18, 2001

LRB PUBLIC FINANCE ADVISORS, INC.

BD
CRD#: 39119
SALT LAKE CITY, UT
Past

August 7, 1992 - December 16, 1995

AQUILA DISTRIBUTORS LLC

BD
CRD#: 1706
NEW YORK, NY
Past

September 4, 1990 - June 23, 1992

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

February 23, 1981 - September 4, 1990

BOETTCHER & COMPANY, INC.

BD
CRD#: 101

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
Series 63
Date: 3/19/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/21/1981
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 2/12/1988
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/3/1982
General Securities Principal Examination

Current Firm

AD
AQUILA DISTRIBUTORS LLC
AQUILA DISTRIBUTORS LLC | STCM DISTRIBUTORS, INC. | EAST COAST INVESTORS INC. | AQUILA DISTRIBUTORS, INC.

CRD#: 1706 / SEC#: , 8-13173

BD
Terminated by SEC on 12/31/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 12/21/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
AQUILA MANAGEMENT CORPORATIONSHAREHOLDER
DIMAGGIO, JOSEPH PAULTREASURER1359940
FILLMORE, RANDALL SCOTTSENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER4188259
HERRMANN, CONRAD BEADLEMANAGER1370319
HERRMANN, DIANA PARSONSMANAGER2913698
OBRIEN, PAUL GREGORYPRESIDENT, FINANCIAL OPERATIONS PRINCIPAL & OPERATIONS PROFESSIONAL3129605
ROSE, PAMELA CAROLINE MS.SECRETARY1559550
SARKANY, THOMAS THOMASMANAGER1024285

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

AQUILA DISTRIBUTORS LLC

CRD#: 1706

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