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Current Employers
Newedge Advisors

858 Camp Street, New Orleans, LA 70130 • United States

Current Registrations

AuthorityCategoryStatusDate
KS RA APPROVED 2021-02-26
  • KS RA
    APPROVED
    Since 2021-02-26

Branch Locations

120 N Santa Fe, Salina, KS 67401 • United States

858 Camp Street, New Orleans, LA 70130 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Salina KS 05/2009 11/2016
Wells Fargo Clearing Services, Llc Salina KS 11/2016 02/2021
Mid Atlantic Capital Corporation Salina KS 02/2021 Present
Goss Advisors Salina KS 02/2021 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Salina, KS
  • 11/2016 → 02/2021
    Salina, KS
  • 02/2021 → Present
    Mid Atlantic Capital Corporation
    Salina, KS
  • 02/2021 → Present
    Goss Advisors
    Salina, KS
Previous Registrations
Other Businesses

1)FINK FARMS, LLC~NON INVESTMENT RELATED~435 1700 RD, ABILENE, KS 67410~FARMING~CO-OWNER~JAN 2016~1 HR PER MONTH~0 HRS PER MONTH DURING MARKET~I OCCASIONALLY SIGN LEGAL DOCUMENTS, RUN AN ERRAND FOR MY HUSBAND TO PICK UP PARTS ON THE WEEKEND OR AFTER WORK, MAKE MEALS FOR THE HARVEST CREW - - - - - - - - - - - - - - - 2)NewEdge Advisors~INVESTMENT RELATED~858 CAMP STREET NEW ORLEANS, LA 70130~RIA, ADVISORY~RIA, ADVISORY~MAR 2021~160HRS PER MONTH~130HRS PER MONTH DURING MARKET~RIA DUTIES-WORKING DIRECTLY WITH CLIENTS TO BUILD FINANCIAL PLANS. 3). March 2021- First Harvest Wealth Management Group. - Investment Related - At Reported Business Location(s) - DBA for NewEdge Securities, Inc. Business - As a registered representative of NewEdge Securities, Inc. I conduct commission based securities business as a broker dealer agent, I spend 1 hour per month during trading hours on this activity. 4)First Harvest Wealth Management Group*Yes Invest*Salina, KS*Partner*Financial Advisor, Investment Management*2/21/21*176+ per mnth/143 Hrs*Help clients by planning for retirement and various financial goals, tax planning, and manage investments accordingly. 5. Precinct Committeewoman* No Inest*Abilene, KS *Voting Precinct Committeewoman - if a current State Senator or Representative resigns during their term and there is no special election, the Precinct Commitee members vote for the replacement*5/30/25*Precinct Committeewoman*If a current Kansas State Senator or Representative resigns during their term and there is no special election, the as a Precinct Commitee member I will place a vote for the replacement.*1 Hr trade/1 non trade

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-05-11
S63 Uniform Securities Agent State Law Examination 2002-01-17
  • S66 Uniform Combined State Law Examination
    2004-05-11
  • S63 Uniform Securities Agent State Law Examination
    2002-01-17
Designations
Other Names
  • Kimberly Ann Cate

View on SEC IAPD

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