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KIMBERLY E CALDWELL
KIMBERLY Ellen CALDWELL, Kim Caldwell, Kimberly E. Caldwell, Kimberly Caldwell, Kim Pohlman…
CRD#: 2971426
IA
B
MORGAN STANLEYCRD#: 149777 1470 Northbank Parkway
Suite 280
Tuscaloosa, AL 35406
Suite 280
Tuscaloosa, AL 35406
0
Disclosures
9
Years of Experience
View By:
State Registrations
B
Alabama 3/26/2020
B
Missouri 10/20/2020
IA
Alabama 3/26/2020
B
North Carolina 1/7/2022
B
California 1/24/2022
B
South Carolina 1/7/2022
B
Florida 10/29/2021
B
Tennessee 1/7/2022
B
Georgia 10/29/2021
B
Texas 1/7/2022
B
Kansas 1/24/2022
IA
Texas 1/26/2022
B
Louisiana 10/29/2021
B
Virgin Islands 3/11/2024
B
Michigan 1/7/2022
B
Virginia 1/24/2022
B
Mississippi 10/29/2021
B
Washington 10/29/2021
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 3/26/2020
B
Registered with this firm since 3/26/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/14/2017 - 02/21/2020 | Northport, AL | |
B | 01/21/2016 - 02/21/2020 | NORTHPORT, AL |
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B
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.
IA
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.