Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 19, 2018 indicate that former New York-based Commonwealth Financial Network broker Todd Kimm has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kimm (CRD# 2800913).
Todd Kimm has spent 21 years in the securities industry and was most recently registered with Commonwealth Financial Network in Syracuse, New York (2014-2017). He was previously registered with Merrill Lynch in Syracuse, New York (1996-2014). he has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 21, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 21, 1996; and Series 7 (General Securities Representative Examination), which he obtained on November 5, 1996. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received one FINRA sanction, one customer complaint, and one denied customer complaint.