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KIMBERLY R. SUPERNEAU
KIM RENE SUPERNEAU, KIMBERLY R. SUPERNEAU
CRD#: 4548225
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 11832 MUKILTEO SPEEDWAY
MUKILTEO, WA 98275
CETERA INVESTMENT SERVICES LLCCRD#: 15340 1000 SW BROADWAY ST
STE 2170
PORTLAND, OR 97205
Registration History
2002200420062008201020122014201620182020202220242 FIRMS2003 - 2009 (6 years)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2014 - Present (10 years)BCETERA INVESTMENT SERVICES LLC (CRD# 15340)2009 - Present (15 years)BMORGAN STANLEY DW INC. (CRD# 7556)2002 - 2003 (<1 year)IACETERA INVESTMENT SERVICES LLC (CRD# 15340)2009 - 2014 (4 years)IAMORGAN STANLEY (CRD# 7556)2003 - 2003 (<1 year)
Disclosure(s)
View By:
2/25/2022
Customer Dispute
Denied
7/13/2012
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 1/29/2016

B
Oklahoma 7/2/2018

B
California 2/12/2013

B
Oregon 10/5/2009

B
Idaho 10/17/2024

IA
Oregon 1/21/2014

B
Montana 1/4/2010

B
Washington 10/5/2009

B
New Jersey 6/24/2021

IA
Washington 4/30/2021

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
11832 MUKILTEO SPEEDWAY, MUKILTEO, WA 98275
1000 SW BROADWAY ST STE 2170, PORTLAND, OR 97205
Registered with this firm since 1/21/2014

B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
1000 SW BROADWAY ST STE 2170, PORTLAND, OR 97205
265 YORK STREET, BELLINGHAM, WA 98225
Registered with this firm since 10/5/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/07/2009 - 01/21/2014 CETERA INVESTMENT SERVICES LLC (CRD#:15340) MUKILTEO, WA
IA
10/03/2003 - 10/07/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) PORTLAND, OR
B
10/03/2003 - 10/07/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) PORTLAND, OR
IA
05/12/2003 - 09/02/2003 MORGAN STANLEY (CRD#:7556) LAKE OSWEGO, OR
B
10/02/2002 - 09/02/2003 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
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B
Broker
IA
Investment Adviser
Disclosures
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.