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 O'Bannon is an active registered representative for Merrill Lynch, Pierce, Fenner & Smith Inc., and has been in the securities industry since September 27, 1990. Kimberly is also an active Investment Advisor Representative in both North Carolina and Texas. Kimberly has a broad range of experience, having worked for several firms throughout her career. Previously Kimberly Ann O'Bannon worked for First Union Securities, Inc., First Union Capital Markets Corp., Smith Barney Inc., Lehman Brothers Inc., and Dean Witter Reynolds Inc. Kimberly Ann O'Bannon holds Series 7 and Series 63 licenses and has successfully passed the Series 65 and SIE exams. Kimberly Ann O'Bannon is registered in 38 states as a broker and in 2 states as an Investment Advisor Representative. Kimberly Ann O'Bannon specializes in the following: Portfolio management for individuals, Portfolio management for businesses, Pension consulting, Educational seminars and Selection of other advisers.
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
NC
02/19/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WILMINGTON NC)
MO
10/01/1999 - 12/04/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
01/09/1997 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NY
07/31/1993 - 09/03/1996
SMITH BARNEY INC. (NEW YORK NY)
NY
04/19/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
11/07/1990 - 03/15/1993
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
05/25/1988 - 07/11/1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 07/18/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/19/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/1988
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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