Kerri E. Cain
Professional summary
Kerri E Cain, who also goes by Kerri E Ahern, is a registered financial professional currently at GUGGENHEIM INVESTOR SERVICES, LLC located in New York, New York.
Kerri is registered as a RR (Registered Representative) and started their career in finance in 2014. Kerri has worked at 4 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 14, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kerri E Cain's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 12, 2023 - Present
GUGGENHEIM INVESTOR SERVICES, LLC
Office #1: 330 Madison Avenue, New York, NY 10017May 16, 2023 - November 22, 2023
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
March 24, 2016 - May 18, 2023
GUGGENHEIM SECURITIES, LLC
March 8, 2014 - August 18, 2015
MILLINGTON 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
(12/8/2023)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
GUGGENHEIM INVESTOR SERVICES, LLC
CRD#: 30096 / SEC#: , 8-44742
Contact information
FINRA licenses (13 States and Territories)
Documents
Red Flags
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