Kerri L. Lindstrom
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.
Kerri Lea Lindstrom, who also goes by Kerri Lea Briceno, was a registered financial professional .
Kerri is a previously registered financial professional and started their career in finance in 2006. Kerri had worked at 4 firms and has passed the Series 63, SIE, Series 55, Series 7 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
June 18, 2010 - October 4, 2012
LAVAFLOW, INC.
June 18, 2010 - September 6, 2019
CITIGROUP GLOBAL MARKETS INC.
November 15, 2006 - January 27, 2011
AUTOMATED TRADING DESK BROKERAGE SERVICES, LLC
November 15, 2006 - October 4, 2012
CITI ORDER ROUTING AND EXECUTION, LLC
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 55
Date: 1/29/2007
Limited Representative-Equity Trader ExamCurrent Firm
LAVAFLOW, INC.
CRD#: 120444 / SEC#: , 8-65299
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP FINANCIAL PRODUCTS INC. | 100% SHAREHOLDER | |
| KEEGAN, DANIEL LAURENCE | DIRECTOR | 2756125 |
| MAKKER, SANJAY | DIRECTOR | 5018074 |
| PROCOPION, JOHN CONSTANTINE | PRESIDENT | 2760137 |
| PROCOPION, JOHN CONSTANTINE | CHIEF OPERATING OFFICER | 2760137 |
| SALIBA, RAMSEY | CFO / FINOP | 5358958 |
| SMITH, AZIBO ABDUL | VICE PRESIDENT | |
| TARLETON, JOHN KERMIT | CHIEF COMPLIANCE OFFICER | 1390864 |
Disclosures
| Regulatory Event | 9 |
Red Flags
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