SI
Stacia H. Ikpe
FRED ALGER & COMPANY
NEW YORK, NY 10004
Some features on this profile are disabled
CRD#: 3146283
SI
Professional summary
Stacia Herman Ikpe, who also goes by Stacia Marie Herman, is a registered financial professional currently at FRED ALGER & COMPANY, LLC located in New York, New York.
Stacia is registered as a RR (Registered Representative) and started their career in finance in 1999. Stacia has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 3 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Stacia Marie Herman
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 Stacia Herman Ikpe'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
August 12, 2020 - Present
FRED ALGER & COMPANY, LLC
Office #1: 100 Pearl Street 27th Floor, New York, NY, 10004BD
CRD#: 5300
NEW YORK, NY
Past
September 29, 2015 - July 1, 2019
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
NEW YORK, NY
Past
October 5, 2006 - August 28, 2015
LORD, ABBETT & CO. LLC
RIA
CRD#: 110391
JERSEY CITY, NJ
Past
September 26, 2006 - August 28, 2015
LORD ABBETT DISTRIBUTOR LLC
BD
CRD#: 530
JERSEY CITY, NJ
Past
February 4, 1999 - April 4, 2006
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
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(8/12/2020)
RR
Alaska(8/12/2020)
RR
Arizona(8/12/2020)
RR
Arkansas(8/12/2020)
RR
California(8/12/2020)
RR
Colorado(8/12/2020)
RR
Connecticut(8/12/2020)
RR
Delaware(8/12/2020)
RR
District of Columbia(8/12/2020)
RR
Florida(8/12/2020)
RR
Georgia(8/12/2020)
RR
Hawaii(8/12/2020)
RR
Idaho(8/12/2020)
RR
Illinois(8/12/2020)
RR
Indiana(8/12/2020)
RR
Iowa(8/12/2020)
RR
Kansas(8/12/2020)
RR
Kentucky(8/12/2020)
RR
Louisiana(8/12/2020)
RR
Maine(8/12/2020)
RR
Maryland(8/12/2020)
RR
Massachusetts(8/12/2020)
RR
Michigan(8/12/2020)
RR
Minnesota(8/12/2020)
RR
Mississippi(8/12/2020)
RR
Missouri(8/12/2020)
RR
Montana(8/12/2020)
RR
Nebraska(8/12/2020)
RR
Nevada(8/12/2020)
RR
New Hampshire(8/12/2020)
RR
New Jersey(8/12/2020)
RR
New Mexico(8/12/2020)
RR
New York(8/12/2020)
RR
North Carolina(8/12/2020)
RR
North Dakota(8/12/2020)
RR
Ohio(8/17/2020)
RR
Oklahoma(8/12/2020)
RR
Oregon(8/12/2020)
RR
Pennsylvania(8/12/2020)
RR
Puerto Rico(8/12/2020)
RR
Rhode Island(8/12/2020)
RR
South Carolina(8/12/2020)
RR
South Dakota(8/12/2020)
RR
Tennessee(8/12/2020)
RR
Texas(8/12/2020)
RR
Utah(8/12/2020)
RR
Vermont(8/12/2020)
RR
Virginia(8/12/2020)
RR
Washington(8/12/2020)
RR
West Virginia(8/12/2020)
RR
Wisconsin(8/12/2020)
RR
Wyoming(8/12/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
FA
FRED ALGER & COMPANY, LLC
FRED ALGER & COMPANY, INCORPORATED | FRED ALGER & COMPANY, LLC
CRD#: 5300 / SEC#: , 8-15900
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
100 Pearl Street 27th Floor, New York, NY, 10004
Mailing Address
100 Pearl Street 27th Floor, New York, NY, 10004
Phone number
(212) 806-8800
Established
Delaware since 10/01/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
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.
