Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kimberly? Claim Your ProfileKimberly Phillips is a registered representative and investment advisor representative. Kimberly has been in the industry since 2012. Kimberly is currently employed with Merrill Lynch, Pierce, Fenner & Smith Inc. Kimberly has passed Series 63, Series 7, Series 79, and Series 65 exams and holds licenses in North Carolina. Prior to joining Merrill Lynch, Kimberly was employed with J.P. Morgan Securities LLC. Kimberly has a history of providing investment advice to individuals, corporations, and businesses.
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
03/20/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (RALEIGH NC)
NY
10/03/2012 - 02/10/2015
J.P. MORGAN SECURITIES LLC (MELVILLE NY)
IA
Issued 03/19/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/19/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/07/2015
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 10/02/2012
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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