Kevin H. Fringer
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.
Kevin Harold Fringer was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1992. Kevin had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 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
May 22, 2013 - February 15, 2018
INVEST FINANCIAL CORPORATION
May 22, 2013 - February 15, 2018
INVEST FINANCIAL CORPORATION
January 4, 2010 - May 28, 2013
SECURITIES AMERICA ADVISORS, INC.
December 18, 2009 - May 28, 2013
SECURITIES AMERICA, INC.
May 29, 2008 - December 23, 2009
VOYA FINANCIAL PARTNERS, LLC
May 19, 2008 - December 23, 2009
VOYA FINANCIAL PARTNERS, LLC
January 16, 2007 - May 22, 2008
GUNNALLEN FINANCIAL, INC
January 5, 2007 - May 22, 2008
GUNNALLEN FINANCIAL, INC
January 3, 2003 - January 16, 2007
EQUITABLE ADVISORS, LLC
March 1, 2002 - January 16, 2007
EQUITABLE ADVISORS, LLC
November 3, 1992 - February 26, 2002
IDS LIFE INSURANCE COMPANY
November 3, 1992 - February 26, 2002
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
Current Firm
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 2 |
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.
