Kimberly A. Shockley
Professional summary
Kimberly Ann Shockley, who also goes by Kimberly Ann Russell, is a registered financial advisor currently at ASCENSUS INVESTMENT ADVISORS, LLC located in Coventry, Rhode Island and ASCENSUS BROKER DEALER SERVICES, LLC located in Newton, Massachusetts.
Kimberly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Kimberly has worked at 2 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kimberly Ann Shockley's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 5, 2025 - Present
ASCENSUS INVESTMENT ADVISORS, LLC
December 7, 2024 - Present
ASCENSUS BROKER DEALER SERVICES, LLC
Office #1: 95 Wells Avenue Suite 160, Newton, MA 02459Primary Firm SEC Registration
ASCENSUS INVESTMENT ADVISORS, LLC
CRD#: 120632 / SEC#: 801-61492
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/5/2025)
(12/11/2024)
Exams
Series 6TO
Date: 12/6/2024
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
ASCENSUS INVESTMENT ADVISORS, LLC
CRD#: 120632 / SEC#: 801-61492
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10 |
| AUM (Assets Under Management) | $ 12,973,029,698 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/21/2026 | ||
| 07/29/2024 | ||
| 01/30/2024 |
Red Flags
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