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Kim J Thomas

Description

Kim Thomas is a financial professional at Prudential Financial Planning Services, a broker-dealer with over 4,100 registered representatives nationwide. Kim has held an industry securities registration for 24 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Kim J Thomas has not answered any questions on Financial Q&A.

Top Guides

Kim J Thomas has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Corporations or Other Businesses
Charitable Organizations
State or Municipal Government Entities

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Pruco Securities, LLC. 25 years, 7 months Nov 1987 - Present
Prudential Insurance Conmpany of America 25 years, 7 months Nov 1987 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 12/20/2011, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
12/20/2011
10/21/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Investment Company Products/Variable Contracts Principal Examination Series 26 03/16/2011
General Securities Representative Examination Series 7 12/18/2001
Uniform Investment Adviser Law Examination Series 65 10/31/2001
Uniform Securities Agent State Law Examination Series 63 12/31/1987
Investment Company Products/Variable Contracts Representative Examination Series 6 12/31/1987

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees