Keith A. Fletcher
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.
Keith Arthur Fletcher, who also goes by Keith A Fletcher, Keith Fletcher, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1981. Keith had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 6 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
July 1, 2021 - March 10, 2022
FORESIDE FUND SERVICES, LLC
January 29, 2019 - July 2, 2019
FORESIDE FUND SERVICES, LLC
January 4, 2017 - February 2, 2017
MATRIX CAPITAL GROUP, INC.
July 17, 2013 - December 31, 2016
MATRIX CAPITAL GROUP, INC.
April 14, 2009 - May 7, 2012
GUGGENHEIM DISTRIBUTORS, LLC
February 24, 2009 - November 16, 2009
SECURITY DISTRIBUTORS
November 6, 2007 - November 10, 2008
LYSTER WATSON SECURITIES, INC.
December 18, 2006 - November 6, 2007
FORESIDE DISTRIBUTION SERVICES, L.P.
April 28, 2000 - January 13, 2005
VAN ECK CAPITAL, INC.
July 1, 1992 - January 13, 2005
VAN ECK SECURITIES CORPORATION
May 14, 1991 - April 23, 1992
FIDELITY BROKERAGE SERVICES LLC
November 14, 1990 - May 9, 1991
FIDELITY DISTRIBUTORS CORPORATION
April 12, 1989 - October 17, 1989
ABN AMRO SECURITIES LLC
July 22, 1981 - April 3, 1985
BNY MELLON SECURITIES CORPORATION
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.
