Individual Firm
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KIMBERLY DOLSON GUSTAFSON
KIMBERLY ELAINE ARMSTRONG, KIM ELAINE DOLSON, KIMBERLY ELAINE DOLSON, Kim Gustafson
CRD#: 4575858
IA
B
ON INVESTMENT MANAGEMENT COCRD#: 105662 8400 E. Prentice Avenue
Suite 800
Greenwood Village, CO 80111
Suite 800
Greenwood Village, CO 80111
THE O.N. EQUITY SALES COMPANYCRD#: 2936 8400 E. Prentice Ave
Suite 800
Greenwood Village, CO 80111
Suite 800
Greenwood Village, CO 80111
0
Disclosures
6
Years of Experience
View By:
State Registrations
B
Colorado 3/26/2024
B
Nevada 1/31/2025
IA
Colorado 4/9/2024
IA
Nevada 2/3/2025
B
Florida 1/31/2025
B
Texas 1/31/2025
IA
Florida 3/6/2025
IA
Texas 1/31/2025
SRO Registrations
B
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IA
Registered with this firm since 4/9/2024
B
Registered with this firm since 3/26/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/09/2004 - 05/07/2009 | AUSTIN, TX | |
B | 08/09/2004 - 05/07/2009 | AUSTIN, TX | |
IA | 12/04/2002 - 07/25/2003 | AUSTIN, TX | |
B | 11/20/2002 - 07/25/2003 | MINNEAPOLIS, MN | |
B | 11/20/2002 - 07/25/2003 | MINNEAPOLIS, MN |
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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.