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KO

Keri K. Ogden

FORESIDE FUND SERVICES
Milwaukee, WI 53204
Some features on this profile are disabled
CRD#: 6750176
KO

Professional summary

Keri Kathleen Ogden, who also goes by Keri Kathleen Ogden, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Milwaukee, Wisconsin.

Keri is registered as a RR (Registered Representative) and started their career in finance in 2017. Keri has worked at 4 firms and has passed the Series 65, Series 7TO, SIE and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Keri Kathleen Ogden

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 Keri Kathleen Ogden'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

February 11, 2026 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 234 West Florida Street Suite 203, Milwaukee, WI 53204
BD
CRD#: 46106
Milwaukee, WI
Past

June 7, 2023 - June 27, 2025

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

December 19, 2022 - April 28, 2023

VAN ECK SECURITIES CORPORATION

BD
CRD#: 2269
NEW YORK, NY
Past

April 12, 2017 - June 3, 2019

THE RICE PARTNERSHIP, LLC

RIA
CRD#: 135701
KAHULUI, HI

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
IAR
Series 65
Date: 4/12/2017
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/19/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/26/2022
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/11/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FORESIDE FUND SERVICES, LLC
FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC

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

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
(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)

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

Documents

Customer Relationship Summary (CRS / FINRA)

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
STROUT, ALICIA KIMBERLYCHIEF COMPLIANCE OFFICER/VICE PRESIDENT6320351

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 FUND SERVICES, LLC

CRD#: 46106Milwaukee, WI 53204

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