Individual Firm
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KURT EDWARD KIMMICH
CRD#: 2278503
IA
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CONFLUENCE FINANCIAL PARTNERSCRD#: 311980 ONE PPG PLACE
SUITE 2420
PITTSBURGH, PA 15222
SUITE 2420
PITTSBURGH, PA 15222
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12/10/2002
Customer Dispute
Settled
State Registrations
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Pennsylvania 7/6/2021
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Texas 10/29/2021
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Registered with this firm since 7/6/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/27/2015 - 07/12/2021 | Pittsburgh, PA | |
B | 04/24/2015 - 07/12/2021 | PITTSBURGH, PA | |
IA | 05/28/2009 - 05/06/2015 | PITTSBURGH, PA | |
B | 05/28/2009 - 05/06/2015 | PITTSBURGH, PA | |
IA | 05/22/2009 - 05/26/2009 | PITTSBURGH, PA | |
B | 05/22/2009 - 05/26/2009 | PITTSBURGH, PA | |
IA | 01/01/1997 - 05/22/2009 | PITTSBURGH, PA | |
B | 10/01/1999 - 05/22/2009 | PITTSBURGH, PA | |
B | 12/21/1992 - 10/01/1999 | CHARLOTTE, NC |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.