Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kimberly? Claim Your ProfileKimberly Victoria rian Haupin is a financial advisor at BNY Mellon Securities Corp. Kimberly has been a registered financial advisor for over 18 years, with experience in various financial services firms including Northern Trust Securities, Inc. and Advanced Equities, Inc. Kimberly holds several licenses and certifications, including Series 4, Series 7, Series 24, Series 51, and Series 66, and has held positions in both Chicago and Lake Mary. Kimberly specializes in portfolio management for individuals and businesses, and also offers services to clients in other investment advisory needs.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Bnymsc sponsors a wrap fee program, and serves as a portfolio mgr or model provider to third party wrap program sponsors.
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.
A percentage of the total value of assets under management is charged.
1
2
FL
02/19/2024 - Present
BNY Mellon Securities Corp. (LAKE MARY FL)
IL
11/04/2011 - 02/09/2024
NORTHERN TRUST SECURITIES, INC. (CHICAGO IL)
IL
03/21/2006 - 10/21/2011
ADVANCED EQUITIES, INC. (CHICAGO IL)
BOTH
Issued 03/30/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/02/2015
Series 4 - Registered Options Principal Examination
BC
Issued 03/23/2012
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 12/11/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/20/2006
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
MIAX Sapphire
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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