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William S Kimball

Samuel A. Ramirez & Company, Inc.

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About William S Kimball

William Kimball is a financial professional with over 28 years of experience in the industry. He is currently registered with Samuel A. Ramirez & Company, Inc. in Massachusetts. Previously, William Kimball has been associated with several firms including Brean Capital, LLC, Janney Montgomery Scott LLC, Sterne, Agee & Leach, Inc., Raymond James & Associates, Inc., Advest, Inc., Bonds Direct Securities LLC, Fidelity Brokerage Services LLC, National Financial Services LLC, Hoenig & Co., Inc., and Smith Barney Inc. William Kimball holds FINRA Series 7, 9, 10, 52TO, and 63 licenses. He is also registered with the state of Massachusetts, New Hampshire, and Washington.

Firm Information

William Kimball is currently registered with Samuel A. Ramirez & Company, Inc.. Samuel A. Ramirez & Company, Inc. is a corporation formed in 1971. It is registered in 51 states and the District of Columbia, as well as with the Securities and Exchange Commission (SEC). The firm has been involved in 6 regulatory events and 2 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

118

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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William Kimball’s Registration & Firm History

MA

11/30/2018 - Present

Samuel A. Ramirez & Company, Inc. (BOSTON MA)

MA

04/10/2017 - 09/06/2018

BREAN CAPITAL, LLC (SAGAMORE BEACH MA)

MA

11/23/2011 - 04/11/2017

JANNEY MONTGOMERY SCOTT LLC (BOSTON MA)

MA

09/20/2006 - 10/20/2011

STERNE, AGEE & LEACH, INC. (BOSTON MA)

MA

06/20/2005 - 09/07/2006

RAYMOND JAMES & ASSOCIATES, INC. (BOSTON MA)

CT

04/20/2004 - 07/12/2005

ADVEST, INC. (HARTFORD CT)

NY

08/08/2002 - 05/25/2004

BONDS DIRECT SECURITIES LLC (NEW YORK NY)

RI

02/26/2002 - 08/08/2002

FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)

MA

11/30/1998 - 08/08/2002

NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)

NY

04/24/1996 - 12/16/1998

HOENIG & CO., INC. (NEW YORK NY)

NY

09/13/1993 - 11/27/1995

SMITH BARNEY INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/11/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/11/2004

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 07/28/2004

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 09/06/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/11/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for William S Kimball. Review regulatory record here.
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