Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kimberly? Claim Your ProfileKimberly McCauley is a financial advisor who has been active in the industry since 1998. Kimberly has a strong background in securities and investment advisory services, having worked with firms such as Charles Schwab & Co., Inc., Morgan Stanley DW Inc., and LPL Financial LLC. Kimberly is currently registered as a Registered Representative with Wells Fargo Advisors Financial Network, LLC in Arizona. Kimberly holds a number of professional licenses and designations, including Series 7, Series 10, Series 9, Series 24, Series 63, and Series 66. Kimberly has a diverse client base and specializes in providing portfolio management services for businesses and individuals, as well as financial planning and investment consulting.
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.
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.
Investment consulting services to institutional clients
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
AZ
07/14/2023 - Present
Wells Fargo Advisors Financial Network, LLC (SCOTTSDALE AZ)
CA
04/05/2018 - 12/31/2020
LPL FINANCIAL LLC (SAN DIEGO CA)
AZ
10/07/2005 - 08/03/2017
CHARLES SCHWAB & CO., INC. (PHOENIX AZ)
NY
03/23/2005 - 09/27/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
OH
08/24/2004 - 03/21/2005
HUNTINGTON CAPITAL CORP. (COLUMBUS OH)
TX
11/02/1998 - 07/30/2004
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
BOTH
Issued 07/10/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/10/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/20/2023
Series 24 - General Securities Principal Examination
BC
Issued 03/20/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/20/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/20/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/30/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, 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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