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Kimberly E Caldwell

Morgan Stanley

Tuscaloosa, AL

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-01-26
AL RA APPROVED 2020-03-26
  • TX RA
    APPROVED_RES
    Since 2022-01-26
  • AL RA
    APPROVED
    Since 2020-03-26

Branch Locations

1470 Northbank Parkway Suite 280, Tuscaloosa, AL 35406 • 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
Compass Bank Birmingham AL 09/2015 02/2020
Bbva Securities Inc. Northport AL 09/2015 02/2020
Bbva Compass Insurance Agency, Inc. Austin TX 12/2015 02/2020
Bbva Wealth Solutions Inc. Northport AL 08/2017 02/2020
Morgan Stanley Smith Barney Llc Tuscaloosa AL 02/2020 Present
  • 09/2015 → 02/2020
    Compass Bank
    Birmingham, AL
  • 09/2015 → 02/2020
    Bbva Securities Inc.
    Northport, AL
  • 12/2015 → 02/2020
    Bbva Compass Insurance Agency, Inc.
    Austin, TX
  • 08/2017 → 02/2020
    Bbva Wealth Solutions Inc.
    Northport, AL
  • 02/2020 → Present
    Morgan Stanley Smith Barney Llc
    Tuscaloosa, AL
Previous Registrations
  • 2017-08-14 → 2020-02-21
    Pnc Managed Account Solutions, Inc.
    Northport, AL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-08-12
S63 Uniform Securities Agent State Law Examination 2016-03-16
  • S66 Uniform Combined State Law Examination
    2017-08-12
  • S63 Uniform Securities Agent State Law Examination
    2016-03-16
Other Names
  • Kimberly Ellen Pohlman
  • Kimberly Caldwell
  • Kimberly E Pohlman
  • Kim Caldwell
  • Kim Pohlman
  • Kimberly Ellen Caldwell
  • Kimberly E. Caldwell

View on SEC IAPD

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Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · TUSCALOOSA, AL
EAGLE STRATEGIES LLC · TUSCALOOSA, AL
JMF CAPSTONE WEALTH MANAGEMENT · TUSCALOOSA, AL
MONEY CONCEPTS CAPITAL CORP · Tuscaloosa, AL
OSAIC WEALTH, INC. · TUSCALOOSA, AL
FINANCIAL ECONOMICS CONSULTING GROUP, INC. · TUSCALOOSA, AL
FINANCIAL ECONOMICS CONSULTING GROUP, INC. · TUSCALOOSA, AL
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Tuscaloosa, AL

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