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KW

Kelly B. Whetstone

Some features on this profile are disabled
CRD#: 5380134
KW

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.

Kelly Bowers Whetstone, who also goes by Kelly Rae Bowers, was a registered financial professional .

Kelly is a previously registered financial professional and started their career in finance in 2007. Kelly had worked at 24 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kelly Rae Bowers

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.
1) IN ADDITION TO BEING CHIEF COMPLIANCE OFFICER/INVESTMENT ADVISER REPRESENTATIVE OF FORESIDE ADVISORY SERVICES, LLC, THIS ASSOCIATE IS A REGISTERED REPRESENTATIVE OF FORESIDE FUND SERVICES, LLC, AN AFFILIATED BROKER DEALER. THE ASSOCIATE IS A REGISTERED REPRESENTATIVE FOR PURPOSES OF FORESIDE FUND SERVICES, LLC. 2) RR IS DEPUTY GENERAL COUNSEL OF FORESIDE FINANCIAL GROUP, THE PARENT COMPANY FOR FORESIDE ADVISORY SERVICES AND FORESIDE FUND SERVICES, LLC 3) ASSOCIATION OF CORPORATE COUNSEL-NORTHEAST CHAPTER; NON-INVVESTMENT RELATED; LEGAL ASSOCIATION; WASHINGTON, DC; START 09/2020; DIRECTOR; BOARD AND COMMITTEE MEETINGS, SHAPE STRATEGY, MEMBER OUTREACH; 2 HOURS PER MONTH. 4) EASTERN TRAIL ASSOCIATION; NON INVESTMENT RELATED; SACO, ME; NON PROFIT; VICE PRESIDENT; START DATE 8/2023; 4 HOURS PER MONTH; HELP MAINTAIN TRAILS 5) ASSOCIATE OF CORPORATE COUNSEL - NORTHEAST CHAPTER; NON-INVESTMENT RELATED; WASHINGTON, DC; NON-PROFIT PROFESSIONAL ASSOCIATION; START 09/2024; SECRETARY; I WAS VOTED IN AS SECRETARY; 10 HRS PER MONTH

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 9, 2024 - November 3, 2025

DISTRIBUTION SERVICES, LLC

BD
CRD#: 25938
Portland, ME
Past

October 14, 2021 - October 11, 2022

FORESIDE INVESTMENT SERVICES, LLC

BD
CRD#: 30016
Portland, ME
Past

October 14, 2021 - November 29, 2023

COMPASS DISTRIBUTORS, LLC

BD
CRD#: 172662
Portland, ME
Past

October 14, 2021 - November 3, 2025

STERLING CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 103934
Portland, ME
Past

October 14, 2021 - November 3, 2025

SMEAD FUNDS DISTRIBUTORS, LLC

BD
CRD#: 173734
Portland, ME
Past

October 14, 2021 - November 3, 2025

PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 143809
Portland, ME
Past

October 14, 2021 - November 3, 2025

PARNASSUS FUNDS DISTRIBUTOR, LLC

BD
CRD#: 15883
Portland, ME
Past

October 14, 2021 - November 3, 2025

ORBIS INVESTMENTS (U.S.), LLC

BD
CRD#: 172663
Portland, ME
Past

October 14, 2021 - November 3, 2025

NORTHERN FUNDS DISTRIBUTORS, LLC

BD
CRD#: 45943
Portland, ME
Past

October 14, 2021 - November 3, 2025

MGI FUNDS DISTRIBUTORS, LLC

BD
CRD#: 35682
Portland, ME
Past

October 14, 2021 - November 3, 2025

IMST DISTRIBUTORS, LLC

BD
CRD#: 130745
Portland, ME
Past

October 14, 2021 - November 3, 2025

FUNDS DISTRIBUTOR, LLC

BD
CRD#: 7174
Portland, ME
Past

October 14, 2021 - November 3, 2025

FORESIDE GLOBAL SERVICES, LLC

BD
CRD#: 147382
Portland, ME
Past

October 14, 2021 - November 3, 2025

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
Portland, ME
Past

October 14, 2021 - November 3, 2025

FORESIDE FINANCIAL SERVICES, LLC

BD
CRD#: 148477
Portland, ME
Past

October 14, 2021 - November 3, 2025

FORESIDE DISTRIBUTION SERVICES, L.P.

BD
CRD#: 15634
Portland, ME
Past

June 12, 2020 - November 3, 2025

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
Portland, ME
Past

February 25, 2020 - February 3, 2025

FORESIDE ADVISORY SERVICES, LLC

RIA
CRD#: 306760
PORTLAND, ME
Past

May 16, 2019 - November 14, 2019

PARNASSUS FUNDS DISTRIBUTOR, LLC

BD
CRD#: 15883
Portland, ME
Past

January 29, 2018 - November 14, 2019

SMEAD FUNDS DISTRIBUTORS, LLC

BD
CRD#: 173734
PORTLAND, ME
Past

January 29, 2018 - November 14, 2019

STERLING CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 103934
PORTLAND, ME
Past

January 29, 2018 - November 14, 2019

FORESIDE DISTRIBUTION SOLUTIONS, LLC

BD
CRD#: 118787
PORTLAND, ME
Past

January 29, 2018 - November 14, 2019

ORBIS INVESTMENTS (U.S.), LLC

BD
CRD#: 172663
PORTLAND, ME
Past

January 29, 2018 - November 14, 2019

NORTHERN FUNDS DISTRIBUTORS, LLC

BD
CRD#: 45943
PORTLAND, ME
Past

January 29, 2018 - November 14, 2019

MGI FUNDS DISTRIBUTORS, LLC

BD
CRD#: 35682
PORTLAND, ME
Past

January 29, 2018 - November 14, 2019

IMST DISTRIBUTORS, LLC

BD
CRD#: 130745
PORTLAND, ME
Past

January 29, 2018 - November 14, 2019

FUNDS DISTRIBUTOR, LLC

BD
CRD#: 7174
PORTLAND, ME
Past

January 29, 2018 - November 14, 2019

FORESIDE INVESTMENT SERVICES, LLC

BD
CRD#: 30016
PORTLAND, ME
Past

January 29, 2018 - November 14, 2019

FORESIDE GLOBAL SERVICES, LLC

BD
CRD#: 147382
PORTLAND, ME
Past

January 29, 2018 - November 14, 2019

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
PORTLAND, ME
Past

January 29, 2018 - November 14, 2019

FORESIDE FINANCIAL SERVICES, LLC

BD
CRD#: 148477
PORTLAND, ME
Past

January 29, 2018 - November 14, 2019

FORESIDE DISTRIBUTION SERVICES, L.P.

BD
CRD#: 15634
PORTLAND, ME
Past

January 29, 2018 - November 14, 2019

FORESIDE ASSOCIATES, LLC

BD
CRD#: 13494
PORTLAND, ME
Past

January 29, 2018 - November 14, 2019

FAIRHOLME DISTRIBUTORS, LLC

BD
CRD#: 150987
PORTLAND, ME
Past

January 29, 2018 - November 14, 2019

COMPASS DISTRIBUTORS, LLC

BD
CRD#: 172662
PORTLAND, ME
Past

January 29, 2018 - November 14, 2019

BD COMPLIANCE SOLUTIONS, LLC

BD
CRD#: 30188
PORTLAND, ME
Past

March 10, 2017 - November 3, 2025

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Portland, ME
Past

August 6, 2007 - February 6, 2017

HOMESTEAD FINANCIAL SERVICES CORP.

BD
CRD#: 26643
ARLINGTON, VA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/24/2020
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/17/2007
Uniform Securities Agent 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: 3/12/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/3/2007
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 12/17/2007
Investment Company Products/Variable Contracts Principal Examination

Current Firm

DS
DISTRIBUTION SERVICES, LLC
DISTRIBUTION SERVICES, LLC | UMB DISTRIBUTION SERVICES, LLC | SUNSTONE FINANCIAL GROUP, INC. | SUNSTONE DISTRIBUTION SERVICES, LLC

CRD#: 25938 / SEC#: , 8-42106

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
Wisconsin since 09/27/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# 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, LLCSOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKIPRES/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145
TAYLOR, GORDON BURDETTEVP, CHIEF COMPLIANCE OFFICER2990648

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

DISTRIBUTION SERVICES, LLC

CRD#: 25938

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