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Detailed Report
SEAN PAUL KIMBLE
SEAN PAUL KIMBLE
CRD#: 4598087
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
2003200420052006200720082009IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2005 - 2007 (1 year)IABANC ONE SECURITIES CORPORATION (CRD# 16999)2005 - 2005 (<1 year)IAMETLIFE SECURITIES INC. (CRD# 14251)2004 - 2005 (1 year)IAAMERICAN EXPRESS FINANCIAL ADV... (CRD# 6363)2003 - 2003 (<1 year)
Disclosure(s)
View By:
2/15/2008
Regulatory
Final
Previous Registration(s)
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 07/06/2005 - 01/05/2007 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) INDIANAPOLIS, IN
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 07/01/2005 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) WEST LAFAYETTE, IN
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 02/12/2004 - 06/30/2005 METLIFE SECURITIES INC. (CRD#:14251) INDIANAPOLIS, IN
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 02/05/2003 - 07/14/2003 AMERICAN EXPRESS FINANCIAL ADVISORS, INC. (CRD#:6363) INDIANAPOLIS, IN
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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.
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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
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.