Carol Ann Kinzer
Professional Summary
Carol Ann Kinzer is a registered financial advisor currently at VAQUERO CAPITAL LLC located in Bend, Oregon and NEXTIER DISTRIBUTION LLC located in Raleigh, North Carolina. Carol is registered as a RR (Registered Representative) and started their career in finance in 2002. Carol has worked at 56 firms and has passed the Series 99TO, SIE and Series 28 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
24 years in the financial services industry
Current & Past Employments
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Current Firm
FRONTIER ONE | FRONTIER ONE LLC
Contact Information
Main Address
1033 Skokie Boulevard Suite 260, Northbrook, IL 60062Mailing Address
1033 Skokie Boulevard Suite 260, Northbrook, IL 60062Phone Number
(312) 859-0899Established
Illinois since 03/11/2024Firm Type
Limited Liability CompanyFiscal Year End
JuneFirm Size
SmallFINRA licenses (3 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORSYTH, WILLIAM DONALD III | OWNER, CO-PRESIDENT, GENERAL SECURITIES PRINCIPAL, CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER | 1285055 |
| JASON ANDREW CIAGLO 2016 DECLARATION OF TRUST | OWNER | — |
| CIAGLO, JASON ANDREW | CO-PRESIDENT, TRUSTEE | 2777112 |
| KINZER, CAROL ANN | FINANCIAL AND OPERATIONS PRINCIPAL | 4519471 |
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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.
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State Registrations and Notice Filings
(12/2/2020)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Apr 2002About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Carol Ann Kinzer's CRS (Customer Relationship Summary).
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