Ken A. Lerseth
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ken Adam Lerseth was a registered financial professional .
Ken is a previously registered financial professional and started their career in finance in 1985. Ken had worked at 6 firms and has passed the Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2013 - March 24, 2014
NATIXIS DISTRIBUTION, LLC
December 8, 2010 - October 19, 2011
FIDELITY BROKERAGE SERVICES LLC
January 30, 2007 - January 9, 2009
FIRST REPUBLIC SECURITIES COMPANY, LLC
July 12, 2006 - January 26, 2007
QUEST CAPITAL STRATEGIES, INC.
April 18, 1986 - July 30, 2004
CHARLES SCHWAB & CO., INC.
September 25, 1985 - October 18, 1985
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 11/28/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NATIXIS DISTRIBUTION, LLC
CRD#: 34754 / SEC#: , 8-46325
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIXIS INVESTMENT MANAGERS, LLC | SOLE MEMBER | |
| GIUNTA, DAVID LAWRENCE | PRESIDENT, CHIEF EXECUTIVE OFFICER | 2290469 |
| LOUREIRO, ANTHONY DAVID | CHIEF COMPLIANCE OFFICER | 2087464 |
| PINASMITH, BEATRIZ ANA | EXECUTIVE VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER | 2220599 |
| ROSH, MARILYN VINTON | SENIOR VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER | 4206001 |
| TOBIN, SUSAN MCWHAN | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL | 4649471 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
