Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kimberly? Claim Your ProfileKimberly Rountree is a financial advisor at Wells Fargo Clearing Services, LLC, working out of the Monroe, LA branch. Kimberly has over 30 years of experience in the financial services industry, holding registrations in 30 states and two principal exams. Kimberly has worked with a variety of clients, including individuals, businesses, and institutions.
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.
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2
LA
07/10/2017 - Present
Wells Fargo Clearing Services, LLC (MONROE LA)
TX
07/26/2013 - 05/02/2016
MORGAN STANLEY (DALLAS TX)
TX
09/04/2008 - 07/16/2013
WELLS FARGO ADVISORS, LLC (ADDISON TX)
TX
02/07/2005 - 07/17/2008
COMPASS BROKERAGE, INC. (UNIVERSITY PARK TX)
MO
07/01/2003 - 09/01/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
04/19/2001 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
12/19/1990 - 04/17/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 10/29/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/11/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/29/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/12/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/18/1990
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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