Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kimberly? Claim Your ProfileKimberly Lynn Rico is a financial advisor who has been in the industry since January 22, 2004. Kimberly Lynn Rico is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Santa Rosa, CA. Previously Kimberly Lynn Rico was registered with BANC OF AMERICA INVESTMENT SERVICES, INC.. Kimberly Lynn Rico has passed the Uniform Combined State Law Examination, Securities Industry Essentials Examination and the General Securities Representative Examination. Kimberly Lynn Rico has experience in various financial products and services. Kimberly Lynn Rico is also involved in rental property management.
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
10/23/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SANTA ROSA CA)
CA
01/22/2004 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SANTA ROSA CA)
BOTH
Issued 2/25/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 1/21/2004
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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