Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kim? Claim Your ProfileKim Lepley is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., a firm that manages over $1 trillion in client assets. Kim has been in the financial industry since September 2007 and is registered with the Financial Industry Regulatory Authority (FINRA) and holds a Series 7, 31, and 66 license. Kim specializes in providing financial advice and portfolio management services to a variety of clients, including individuals, high-net-worth individuals, corporations, and institutions. Kim is also registered with the Securities and Exchange Commission (SEC) as an investment advisor representative and is authorized to provide investment advice in multiple states, including Alabama, Florida, and Texas.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
AL
03/12/2010 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BIRMINGHAM AL)
AL
06/01/2009 - 03/16/2010
MORGAN STANLEY SMITH BARNEY (BIRMINGHAM AL)
AL
09/07/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BIRMINGHAM AL)
BOTH
Issued 09/20/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/27/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 09/05/2007
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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