Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kimball? Claim Your ProfileKimball Collins Cotty is a financial advisor with Wells Fargo Clearing Services, LLC. Kimball is a registered representative in North Carolina and South Carolina. Kimball has been in the financial services industry since 2010. Prior to joining Wells Fargo Clearing Services, LLC, Kimball worked at Raymond James Financial Services, Inc., First Union Brokerage Services, Inc., Wheat, First Securities, Inc. and First Union Capital Markets Corp. Kimball holds Series 7, Series 63, Series 66 and Series 24 licenses.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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
NC
01/04/2017 - Present
Wells Fargo Clearing Services, LLC (PINEHURST NC)
FL
12/13/1999 - 07/17/2001
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)
NC
08/24/1998 - 10/14/1999
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NC
02/02/1998 - 08/13/1998
WHEAT, FIRST SECURITIES, INC. (CHARLOTTE NC)
NC
03/14/1995 - 02/02/1998
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
BOTH
Issued 01/23/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/02/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/21/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/29/2016
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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