Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kimberly? Claim Your ProfileKimberly Modenbach is a financial advisor in Raleigh, NC. Kimberly has been working in the industry since December 1998. She has a wide range of experience and is currently registered with Wells Fargo Clearing Services, LLC. Kimberly has previously worked with Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Morgan Keegan & Company, Inc., UBS Financial Services Inc. and J.C. Bradford & Co. Kimberly has a variety of credentials including Series 7, Series 9, Series 10, Series 31, Series 63, Series 66, and Series 99TO. Kimberly is able to provide financial advice to a variety of clients including individuals, businesses, and institutions. Kimberly specializes in providing financial planning, portfolio management, and investment consulting services.
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
NC
10/26/2010 - Present
Wells Fargo Clearing Services, LLC (RALEIGH NC)
NC
06/01/2009 - 10/21/2010
MORGAN STANLEY SMITH BARNEY (RALEIGH NC)
NC
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (RALEIGH NC)
NC
12/04/2003 - 04/02/2007
MORGAN STANLEY DW INC. (RALEIGH NC)
TN
06/17/2003 - 07/09/2003
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
NJ
05/14/2003 - 06/26/2003
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NJ
08/12/2000 - 06/28/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
08/26/1997 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
BOTH
Issued 08/22/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/02/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/29/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/22/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/01/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 08/25/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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