Marie L. Fry
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.
Marie Louise Fry was a registered financial professional .
Marie is a previously registered financial professional and started their career in finance in 1986. Marie had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2013 - February 10, 2015
KMS FINANCIAL SERVICES, INC.
August 1, 2011 - December 31, 2013
PKS ADVISORY SERVICES, LLC
September 11, 2009 - February 25, 2015
PURSHE KAPLAN STERLING INVESTMENTS
January 2, 2009 - August 17, 2009
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 4, 2006 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 24, 2005 - December 31, 2005
INTEGRATED ASSET MANAGEMENT, INC.
April 5, 2005 - August 17, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 2, 2001 - June 6, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - June 6, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 7, 1997 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
August 14, 1996 - March 7, 1997
KEYSTONE BROKERAGE, LLC
October 22, 1986 - November 11, 1994
SUMMIT FINANCIAL SERVICES GROUP, INC.
May 16, 1986 - December 13, 1989
PRUCO SECURITIES, 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
Current Firm
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
Red Flags
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