Kendall A. Mitchell

FORESIDE FUND SERVICES

Phoenix, AZ 85018

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CRD#: 6000867

Professional summary

Kendall Anne Mitchell, who also goes by Kendall Anne Hutchings, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Phoenix, Arizona.

Kendall is registered as a RR (Registered Representative) and started their career in finance in 2012. Kendall has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kendall Anne Hutchings

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 Kendall Anne Mitchell's CRS (Customer Relationship Summary).

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

September 11, 2024 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 4722 N 24th St., Phoenix, AZ 85018

CRD#: 46106

Phoenix, AZ

Past

August 10, 2023 - June 12, 2024

ATHENE SECURITIES, LLC

CRD#: 36867

WEST DES MOINES, IA

Past

March 20, 2015 - June 11, 2024

GRIFFIN CAPITAL SECURITIES, LLC

CRD#: 37739

Phoenix, AZ

Past

April 19, 2013 - April 2, 2015

CCO CAPITAL, LLC

CRD#: 31147

PHOENIX, AZ

Past

May 15, 2012 - April 17, 2013

CHARLES SCHWAB & CO., INC.

CRD#: 5393

ENGLEWOOD, CO

State Registrations and Notice Filings

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

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

Arizona
(9/13/2024)

Exams

State Security Law Exam

Series 63

Date: 5/18/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/14/2012

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/25/2017

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FORESIDE FUND SERVICES, LLC

FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC

CRD#: 46106 / SEC#: , 8-51293

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

(207) 553-7110

Established

Delaware since 09/08/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FORESIDE DISTRIBUTORS, LLC	SOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKI	PRES/MANAGER/DIRECTOR	1544189
EDELMAN, GABRIEL	SECRETARY	6654419
LA FOND, SUSAN LORENE	TREASURER	4512785
LANZA, CHRISTOPHER CONTE	VICE PRESIDENT	2184856
MACCHIA, KATE SCHENDEL	VICE PRESIDENT	4863973
SOMMERS, WESTON	CFO/FINOP	5290145
STROUT, ALICIA KIMBERLY	CHIEF COMPLIANCE OFFICER/VICE PRESIDENT	6320351

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.

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Kendall A. Mitchell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kendall Anne Mitchell's CRS (Customer Relationship Summary).

Certified licenses

Experience

ATHENE SECURITIES, LLC

GRIFFIN CAPITAL SECURITIES, LLC

CCO CAPITAL, LLC

CHARLES SCHWAB & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/18/2012

SIE

Date: 10/1/2018

Series 7

Date: 5/14/2012

Series 24

Date: 4/25/2017

FINRA

Current Firm

FORESIDE FUND SERVICES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FORESIDE FUND SERVICES, LLC

TRUST BUT VERIFY

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