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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kimberly? Claim Your ProfileKimberly Austin is a financial advisor currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Kimberly has been active in the financial industry since 2022 and has worked for various financial institutions including WELLS FARGO CLEARING SERVICES, LLC and FRANKLIN DISTRIBUTORS, LLC. Kimberly holds Series 7TO, SIE, 63 and 65 licenses. Kimberly's specialties include portfolio management for both businesses and individuals. Kimberly is dedicated to providing clients with a personalized financial plan and to helping them achieve their financial goals.
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
CA
09/13/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SACRAMENTO CA)
CA
04/24/2023 - 08/28/2023
WELLS FARGO CLEARING SERVICES, LLC (SACRAMENTO CA)
CA
04/08/2022 - 04/05/2023
FRANKLIN DISTRIBUTORS, LLC (Rancho Cordova CA)
IA
Issued 06/08/2023
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/25/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/08/2022
Series 7TO - General Securities Representative Examination
BC
Issued 05/24/2021
SIE - Securities Industry Essentials 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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