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KC

Kurtis Cicero

FORESIDE FINANCIAL SERVICES
La Jolla, CA 92037
Some features on this profile are disabled
CRD#: 4665629
KC

Professional summary

Kurtis Cicero, who also goes by Kurtis Robert Cicero, is a registered financial professional currently at FORESIDE FINANCIAL SERVICES, LLC located in La Jolla, California.

Kurtis is registered as a RR (Registered Representative) and started their career in finance in 2003. Kurtis has worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kurtis Robert Cicero

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kurtis Cicero'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®
None

Experience

Current

January 15, 2026 - Present

FORESIDE FINANCIAL SERVICES, LLC

Office #1: 4225 Executive Square #1600, La Jolla, CA 92037
BD
CRD#: 148477
La Jolla, CA
Past

August 5, 2022 - October 14, 2025

BROOKFIELD PRIVATE WEALTH LLC

BD
CRD#: 313390
NEW YORK, NY
Past

May 23, 2019 - October 7, 2020

WADDELL & REED

RIA
CRD#: 866
OVERLAND PARK, KS
Past

May 23, 2019 - October 7, 2020

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

May 23, 2019 - April 30, 2021

IVY DISTRIBUTORS, INC.

BD
CRD#: 16496
OVERLAND PARK, KS
Past

January 20, 2015 - February 27, 2019

BNY MELLON SECURITIES CORPORATION

RIA
CRD#: 231
New York, NY
Past

January 12, 2015 - February 27, 2019

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
New York, NY
Past

October 25, 2011 - December 16, 2014

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA
CRD#: 106494
NEW YORK, NY
Past

December 6, 2004 - December 16, 2014

VOYA INVESTMENTS DISTRIBUTOR, LLC

BD
CRD#: 37886
SCOTTSDALE, AZ
Past

June 25, 2003 - November 4, 2004

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

June 25, 2003 - November 4, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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
Arizona
(1/15/2026)
RR
Colorado
(1/15/2026)
RR
Nevada
(1/15/2026)
RR
New Mexico
(1/15/2026)
RR
Utah
(1/15/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/8/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/24/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/8/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FORESIDE FINANCIAL SERVICES, LLC
BHIL DISTRIBUTORS, INC. | FORESIDE FINANCIAL SERVICES, LLC | BHIL DISTRIBUTORS, LLC

CRD#: 148477 / SEC#: , 8-68027

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 07/31/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS, LLCDIRECTOR OWNER/SOLE MEMBER
BRUNNER, JENNIFER ANNEVICE PRESIDENT/CHIEF COMPLIANCE OFFICER1137783
COWAN, TERESA MARIA KAZMIERSKIPRESIDENT/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145

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

FORESIDE FINANCIAL SERVICES, LLC

CRD#: 148477La Jolla, CA 92037

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