Kimberly Haupin is a registered investment advisor, based in New York, NY, with 19 years of industry experience.
Location
240 Greenwich Street, New York, NY, 10286
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Pershing LLC
July 2024 - Present · 1 yr 10 mos
Pershing LLCBroker
July 2024 - Present · 1 yr 10 mos
Bny Mellon Securities Corporation
February 2024 - Present · 2 yrs 3 mos
Bny Mellon Securities Corporation
February 2024 - Present · 2 yrs 3 mos
Bny Mellon Securities CorporationBroker
February 2024 - Present · 2 yrs 3 mos
Previous Registrations
Northern Trust Securities, INC
August 2017 - February 2024 · 6 yrs 6 mos
Northern Trust Securities, INC
April 2015 - June 2017 · 2 yrs 2 mos
Northern Trust Securities, INC.Broker
November 2011 - February 2024 · 12 yrs 3 mos
Advanced Equities, INC.
June 2006 - October 2011 · 5 yrs 4 mos
Advanced Equities, INC.Broker
March 2006 - October 2011 · 5 yrs 7 mos
State Registrations2 states
FLNJ
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.