KH
Kenneth J. Herold
NATIXIS DISTRIBUTION
Boston, MA 02199-8197
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CRD#: 2943701
KH
Professional summary
Kenneth Joseph Herold is a registered financial professional currently at NATIXIS DISTRIBUTION, LLC located in Boston, Massachusetts.
Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1997. Kenneth has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Joseph Herold's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 3, 2013 - Present
NATIXIS DISTRIBUTION, LLC
Office #1: 888 Boylston Street Suite 800, Boston, MA 02199-8197BD
CRD#: 34754
Boston, MA
Past
January 28, 2009 - May 23, 2013
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
BD
CRD#: 7834
NEW YORK, NY
Past
March 26, 1999 - October 21, 2005
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
November 3, 1997 - December 31, 1998
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/13/2013)
RR
Alaska(6/12/2013)
RR
Arizona(6/17/2013)
RR
Arkansas(6/13/2013)
RR
California(6/3/2013)
RR
Colorado(6/4/2013)
RR
Connecticut(6/3/2013)
RR
Delaware(6/11/2013)
RR
District of Columbia(6/6/2013)
RR
Florida(6/18/2013)
RR
Georgia(6/12/2013)
RR
Hawaii(6/17/2013)
RR
Idaho(6/3/2013)
RR
Illinois(6/3/2013)
RR
Indiana(6/13/2013)
RR
Iowa(6/12/2013)
RR
Kansas(6/4/2013)
RR
Kentucky(6/4/2013)
RR
Louisiana(7/16/2013)
RR
Maine(6/4/2013)
RR
Maryland(6/13/2013)
RR
Massachusetts(6/5/2013)
RR
Michigan(6/12/2013)
RR
Minnesota(6/17/2013)
RR
Mississippi(6/13/2013)
RR
Missouri(6/4/2013)
RR
Montana(6/12/2013)
RR
Nebraska(1/2/2018)
RR
Nevada(6/26/2013)
RR
New Hampshire(6/3/2013)
RR
New Jersey(6/17/2015)
RR
New Mexico(6/13/2013)
RR
New York(6/12/2013)
RR
North Carolina(6/4/2013)
RR
North Dakota(6/17/2013)
RR
Ohio(6/3/2013)
RR
Oklahoma(6/12/2013)
RR
Oregon(6/13/2013)
RR
Pennsylvania(6/4/2013)
RR
Puerto Rico(6/7/2013)
RR
Rhode Island(6/4/2013)
RR
South Carolina(6/25/2013)
RR
South Dakota(6/12/2013)
RR
Tennessee(6/12/2013)
RR
Texas(6/17/2013)
RR
Utah(6/4/2013)
RR
Vermont(6/13/2013)
RR
Virgin Islands(6/12/2013)
RR
Virginia(6/4/2013)
RR
Washington(6/12/2013)
RR
West Virginia(6/17/2013)
RR
Wisconsin(6/13/2013)
RR
Wyoming(6/5/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
ND
NATIXIS DISTRIBUTION, LLC
CDC IXIS ASSET MANAGEMENT DISTRIBUTORS, L.P. | TNE INVESTMENT SERVICES, L.P. | NVEST FUNDS DISTRIBUTOR, L.P. | NGAM DISTRIBUTION, L.P. | NEW ENGLAND FUNDS, L.P. | NATIXIS DISTRIBUTORS, L.P. | NATIXIS DISTRIBUTION, LLC | NATIXIS DISTRIBUTION, L.P. | IXIS ASSET MANAGEMENT DISTRIBUTORS, L.P.
CRD#: 34754 / SEC#: , 8-46325
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
888 Boylston Street Suite 800, Boston, MA 02199-8197
Mailing Address
888 Boylston Street Suite 800, Boston, MA 02199-8197
Phone number
(617) 449-2828
Established
Delaware since 07/23/1993
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIXIS INVESTMENT MANAGERS, LLC | SOLE MEMBER | |
| GIUNTA, DAVID LAWRENCE | PRESIDENT, CHIEF EXECUTIVE OFFICER | 2290469 |
| LOUREIRO, ANTHONY DAVID | CHIEF COMPLIANCE OFFICER | 2087464 |
| PINASMITH, BEATRIZ ANA | EXECUTIVE VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER | 2220599 |
| ROSH, MARILYN VINTON | SENIOR VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER | 4206001 |
| TOBIN, SUSAN MCWHAN | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL | 4649471 |
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.
Company Information
NATIXIS DISTRIBUTION, LLC
CRD#: 34754Boston, MA 02199-8197TRUST BUT VERIFY
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