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Kimberly Ann Shockley

Ascensus Investment Advisors, LLC

Coventry, RI

Needham, MA

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Current Employers
Ascensus Investment Advisors, Llc

140 Kendrick Street Building C Floor 3 Suite C320, Needham, MA 02494 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2025-06-05
  • MA RA
    APPROVED
    Since 2025-06-05

Branch Locations

Coventry, RI • United States

140 Kendrick Street Building C Floor 3 Suite C320, Needham, MA 02494 • 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
Ascensus Newton MA 10/2023 Present
Ri Office Of The General Treasurer Warwick RI 11/2013 09/2023
  • 10/2023 → Present
    Ascensus
    Newton, MA
  • 11/2013 → 09/2023
    Ri Office Of The General Treasurer
    Warwick, RI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-04-27
S63 Uniform Securities Agent State Law Examination 2017-08-08
  • S65 Uniform Investment Adviser Law Examination
    2018-04-27
  • S63 Uniform Securities Agent State Law Examination
    2017-08-08
Other Names
  • Kimberly Ann Russell

View on SEC IAPD

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