Kimberly RosenfeldCRD Number: 1156539
Current Firm: Ubs Financial Services Inc.
Kimberly Rosenfeld (CRD# 1156539) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Virginia Beach, VA and has over 23 years of experience in the finance industry.
Pathway Financial Planning, Inc.
Lincoln Financial Advisors Corporation
Virginia Capital Management Group Inc.
|Ubs Financial Services Inc.||Norfolk, VA||Apr 2012 - Current||6|
|Merrill Lynch||Norfolk, VA||Oct 2011 - Apr 2012||< 1|
|Morgan Stanley Smith Barney||Newport News, VA||Jun 2009 - Oct 2011||2|
|Morgan Stanley Smith Barney||Virginia Beach, VA||May 1994 - Sep 2011||17|
|Citigroup Global Markets Inc.||Virginia Beach, VA||May 1994 - Jun 2009||15|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||May 1995|
|S65||NASAA Investment Advisors Law Examination||Nov 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 Management391,710MILLIONS
Total Number of Accounts885,967ACCOUNTS
Average Account Value$442,127
- 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)
- Publication of periodicals or newsletters
- Security ratings or pricing services
- Educational seminars/workshops
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV