Kerri L. Fragoso
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.
Kerri L Fragoso, who also goes by Kerri Lee Fragoso, Kerri Fragoso, Kerri Lee Rinehardt, Kerri Lee Sutherland, was a registered financial professional .
Kerri is a previously registered financial professional and started their career in finance in 2006. Kerri had worked at 6 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE, 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
October 29, 2018 - September 2, 2020
FORESIDE FINANCIAL SERVICES, LLC
May 7, 2018 - October 29, 2018
LORING WARD SECURITIES INC.
March 19, 2018 - April 25, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
March 7, 2018 - April 25, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
June 3, 2014 - January 17, 2018
GIRARD SECURITIES, INC.
February 26, 2007 - May 30, 2014
FORESTERS EQUITY SERVICES, INC.
May 29, 2006 - November 29, 2006
CAPLINK SECURITIES, 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
Series 7TO
Date: 4/18/2024
General Securities Representative ExaminationSeries 6TO
Date: 4/18/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
FORESIDE FINANCIAL SERVICES, LLC
CRD#: 148477 / SEC#: , 8-68027
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
Red Flags
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