Kenneth M. Cherrier
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.
Kenneth Michael Cherrier, who also goes by Ken Cherrier, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1998. Kenneth had worked at 14 firms and has passed the Series 65, Series 66, Series 99TO, Series 52TO, SIE, Series 7, Series 6, Series 51, Series 53, Series 4, Series 10, Series 9 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
March 30, 2023 - November 10, 2025
FIDELITY & GUARANTY SECURITIES, LLC
September 19, 2019 - September 16, 2022
U.S. BANCORP INVESTMENTS, INC.
September 18, 2019 - September 16, 2022
U.S. BANCORP INVESTMENTS, INC.
October 13, 2017 - May 2, 2019
COMERICA SECURITIES
October 11, 2017 - May 2, 2019
COMERICA SECURITIES
November 24, 2014 - May 1, 2017
IVY DISTRIBUTORS, INC.
February 8, 2010 - May 1, 2017
WADDELL & REED
February 8, 2010 - May 1, 2017
WADDELL & REED
September 25, 2007 - April 6, 2009
WOODBURY FINANCIAL SERVICES, INC.
May 16, 2006 - August 1, 2007
FINTEGRA, LLC
October 14, 2002 - August 1, 2007
FINTEGRA, LLC
February 20, 2001 - October 7, 2002
VOYA FINANCIAL ADVISORS, INC.
November 3, 2000 - February 12, 2001
WELLS FARGO INVESTMENTS, LLC
February 15, 2000 - February 12, 2001
WELLS FARGO SECURITIES INC.
February 14, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
October 19, 1999 - January 31, 2000
IDS LIFE INSURANCE COMPANY
October 19, 1999 - January 31, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
November 5, 1998 - September 15, 1999
LUTHERAN BROTHERHOOD SECURITIES CORP.
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 99TO
Date: 3/30/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
FIDELITY & GUARANTY SECURITIES, LLC
CRD#: 315720 / SEC#: , 8-70916
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY & GUARANTY LIFE INSURANCE COMPANY | DIRECT OWNER | |
| ANDERSON, STEPHEN FRANCIS | CHIEF COMPLIANCE OFFICER AND AML OFFICER | 1181095 |
| BARRETT, RONALD JOHN JR | DIRECTOR | 2480222 |
| CANTONWINE, TESSA ELIZABETH | SECRETARY | 5626630 |
| OLSON, THOMAS G | CHIEF EXECUTIVE OFFICE AND DIRECTOR | 2393888 |
| PHELPS, JOHN A | DIRECTOR | 5664815 |
| RIP, OLGA | FINOP PRINCIPAL, PRINCIPAL OPERATIONS OFFICER, AND PRINCIPAL FINANCIAL OFFICER | 5440553 |
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.
