Kirk D. Dodge
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.
Kirk Donell Dodge was a registered financial professional .
Kirk is a previously registered financial professional and started their career in finance in 1981. Kirk had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 53 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
December 3, 2014 - March 27, 2015
FORESIDE FUND SERVICES, LLC
January 3, 2011 - December 3, 2012
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
December 16, 2010 - January 3, 2011
JPMORGAN DISTRIBUTION SERVICES, INC.
April 27, 2010 - December 3, 2010
QUASAR DISTRIBUTORS, LLC
March 12, 2007 - December 31, 2008
PRINCIPAL SECURITIES, INC.
October 24, 2006 - December 31, 2008
PRINCIPAL SECURITIES, INC.
October 4, 2004 - October 5, 2006
CROWELL, WEEDON & CO.
November 10, 1993 - October 1, 2004
CAPITAL CLIENT GROUP, INC.
July 13, 1992 - December 31, 1993
MUTUAL SERVICE CORPORATION
July 24, 1989 - January 28, 1991
MCKINLEY CAPITAL, LTD.
May 18, 1981 - May 15, 1989
BALCOR SECURITIES COMPANY
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
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
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.
