Monica A. Kimpling
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.
Monica Ann Kimpling was a registered financial professional .
Monica is a previously registered financial professional and started their career in finance in 1981. Monica had worked at 9 firms and has passed the Series 63, 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
February 23, 1995 - May 7, 1996
DAIN RAUSCHER INCORPORATED
July 6, 1994 - February 9, 1995
MONTANO SECURITIES CORPORATION
September 25, 1992 - April 4, 1994
EVEREST SECURITIES, INC.
April 17, 1990 - September 24, 1992
HAYNE, MILLER FINANCIAL, INC.
January 13, 1987 - April 9, 1990
COLLIERS SECURITIES LLC
November 24, 1986 - January 1, 1987
SECURITIES RESOLUTION CORPORATION
February 24, 1986 - November 21, 1986
HAYNE, MILLER & SWEARINGEN, INC.
August 20, 1982 - April 9, 1990
COLLIERS SECURITIES LLC
June 24, 1982 - September 21, 1982
FIRST UNITED SECURITIES CORPORATION
June 23, 1981 - August 23, 1982
ALSTEAD, DEMPSEY & COMPANY, INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
DAIN RAUSCHER INCORPORATED
CRD#: 7600 / SEC#: , 8-3259
Contact information
Documents
Red Flags
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