Kim OhlerCRD Number: 1276709
Current Firm: Raymond James & Associates, Inc.
Kim Ohler (CRD# 1276709) is an Investment Advisor Representative working at Raymond James & Associates, Inc. in Tucson, AZ and has over 16 years of experience in the finance industry.
First Allied Advisory Services, Inc.
Merrill Lynch, Pierce, Fenner & Smith Incorporated
First Heartland Consultants, Inc.
|Raymond James & Associates||Tucson, AZ||Jun 2017 - Current||1|
|Lpl Financial LLC||Tucson, AZ||Dec 2015 - Jun 2017||1|
|National Bank Of Arizona||Tucson, AZ||Dec 2015 - Jun 2017||1|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Tucson, AZ||Oct 2009 - Nov 2015||6|
|Banc Of America Investment Services, Inc.||Tuson, AZ||May 2002 - Oct 2009||7|
|Bank Of America, N.a.||Tucson, AZ||May 2002 - Oct 2009||7|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jun 2002|
|S66||NASAA Uniform Combined State Law Examination||May 2012|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management142,933MILLIONS
Total Number of Accounts472,443ACCOUNTS
Average Account Value$302,541
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV