Kerry F. Sain
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.
Kerry Ferris Sain, who also goes by Kerry Susan Ferris, Kerry Ferris Gile, Kerry Susan Gile, was a registered financial professional .
Kerry is a previously registered financial professional and started their career in finance in 1995. Kerry had worked at 6 firms and has passed the Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2012 - March 31, 2014
MMC SECURITIES LLC
January 23, 2009 - December 31, 2010
MMC SECURITIES LLC
July 24, 2007 - October 30, 2008
WELLS FARGO CLEARING SERVICES, LLC
October 7, 2004 - August 1, 2005
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
February 24, 2003 - June 25, 2004
ALLIANCEBERNSTEIN INVESTMENTS, INC.
May 21, 1999 - February 13, 2002
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
June 28, 1995 - April 13, 1999
STRONG INVESTMENTS, INC.
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
MMC SECURITIES LLC
CRD#: 103846 / SEC#: 801-60515, 8-52349
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MARSH INSURANCE & INVESTMENTS LLC | SOLE MEMBER | |
| BLACKMORE, KIMBERLY LYNN | FINOP PRINCIPAL, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, DIRECTOR AND TREASURER | 2219307 |
| HUM, CHI HONG | PRESIDENT, ASSISTANT SECRETARY AND DIRECTOR | 1620728 |
| KEANE, DARREN PETER | DEPUTY CCO, DIRECTOR | 6900143 |
| KUMAR, SHIV | CEO AND DIRECTOR | 3165711 |
| MA, JOHN SUNG | PRINCIPAL OPERATIONS OFFICER | 5858075 |
| WEINSTOCK, JUDITH ANN | CCO, DIRECTOR AND SECRETARY | 8096565 |
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.
