Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kimberly? Claim Your ProfileKimberly Ann Bullis rauh is an active investment advisor representative with RBC Capital Markets, LLC. Kimberly Ann Bullis rauh has been working in the financial services industry since 2001. Kimberly Ann Bullis rauh is registered in a number of states, including New York, where Kimberly Ann Bullis rauh is currently registered. Before joining RBC Capital Markets, LLC, Kimberly Ann Bullis rauh was registered with UBS FINANCIAL SERVICES INC. and RBC DAIN RAUSCHER INC. Kimberly Ann Bullis rauh has a Series 66, Series 10, Series 9, SIE and Series 7 license. Kimberly Ann Bullis rauh is currently based out of the Albany branch office of RBC Capital Markets, LLC.
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.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
NY
10/14/2021 - Present
RBC Capital Markets, LLC (ALBANY NY)
NY
09/01/2006 - 03/03/2010
UBS FINANCIAL SERVICES INC. (ALBANY NY)
NY
05/13/2005 - 08/31/2006
RBC DAIN RAUSCHER INC. (ALBANY NY)
NJ
04/09/2001 - 05/27/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
BOTH
Issued 06/20/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/19/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/11/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/06/2001
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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