Korissa Feigelman
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.
Korissa Feigelman, who also goes by Korissa Lynn Ferguson, Korissa Ferguson, Korissa Morrow, was a registered financial professional .
Korissa is a previously registered financial professional and started their career in finance in 2010. Korissa had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2019 - February 7, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 16, 2019 - February 7, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 18, 2015 - October 13, 2017
WELLS FARGO CLEARING SERVICES, LLC
November 18, 2015 - October 13, 2017
WELLS FARGO CLEARING SERVICES, LLC
October 13, 2015 - November 16, 2015
KOVACK ADVISORS, INC.
September 21, 2015 - November 16, 2015
KOVACK SECURITIES INC.
July 20, 2015 - September 22, 2015
UBS FINANCIAL SERVICES INC.
July 17, 2015 - September 22, 2015
UBS FINANCIAL SERVICES INC.
January 5, 2011 - June 11, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 4, 2011 - June 11, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 21, 2010 - December 14, 2010
UBS FINANCIAL SERVICES INC.
April 20, 2010 - December 14, 2010
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
