Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kimberly? Claim Your ProfileKimberly Balagtas is a financial advisor with over 20 years of experience in the industry. Kimberly is currently registered with Piper Sandler & Co., where she focuses on providing investment advice to a variety of clients, including state and municipal government entities. She has a broad range of experience in the financial services industry, having previously worked at Credit Suisse Securities (USA) LLC, Capital One Securities, Inc., VIII Capital Corp., and other firms.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Analytical reports/public finance consulting program
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.
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2
NY
04/22/2024 - Present
Piper Sandler & Co. (NEW YORK NY)
NY
10/08/2021 - 01/23/2024
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
07/08/2021 - 09/23/2021
CAPITAL ONE SECURITIES, INC. (New York NY)
NA
06/17/2021 - 09/20/2021
VIII CAPITAL CORP. (TORONTO )
NY
07/07/2020 - 09/20/2021
DAWSON JAMES SECURITIES, INC. (NEW YORK NY)
TX
01/10/2020 - 09/17/2021
ANALYST HUB SECURITIES, LLC (AUSTIN TX)
NY
10/16/2019 - 09/16/2020
CAPITAL ONE SECURITIES, INC. (New York NY)
NY
01/28/2019 - 06/19/2019
CAPITAL ONE SECURITIES, INC. (New York NY)
NY
05/18/2017 - 10/05/2017
CAPITAL ONE SECURITIES, INC. (New York NY)
NY
04/02/2015 - 10/13/2016
WEDBUSH SECURITIES INC. (New York NY)
NY
12/17/2013 - 02/24/2015
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
02/28/2006 - 11/02/2012
THINKEQUITY LLC (NEW YORK NY)
NY
10/19/2005 - 02/24/2006
BARCLAYS CAPITAL INC. (NEW YORK NY)
CA
08/09/2005 - 10/21/2005
THINKEQUITY PARTNERS LLC (SAN FRANCISCO CA)
CA
01/26/2005 - 08/18/2005
WELLS FARGO SECURITIES, LLC (SAN FRANCISCO CA)
CA
07/22/2003 - 04/02/2004
ROTH CAPITAL PARTNERS, LLC (NEWPORT BEACH CA)
NY
12/07/2001 - 10/21/2002
LADENBURG, THALMANN & CO., INC. (NEW YORK NY)
NY
08/19/1999 - 04/20/2001
FIRST ALBANY CORPORATION (NEW YORK NY)
NY
06/14/1998 - 11/18/1998
TD SECURITIES (USA) INC. (NEW YORK NY)
NY
08/26/1997 - 04/21/1998
ROBERT FLEMING INC. (NEW YORK NY)
BC
Issued 07/19/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/25/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 10/05/2017
SIE - Securities Industry Essentials Examination
BC
Issued 07/21/2014
Series 16 - NYSE Supervisory Analyst Examination
BC
Issued 08/11/2005
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 07/03/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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