Ernest Fok
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.
Ernest Fok, who also goes by Ernest Winghei Fok, Ernest Fok, was a registered financial professional .
Ernest is a previously registered financial professional and started their career in finance in 2022. Ernest had worked at 12 firms and has passed the Series 63, Series 7TO, SIE and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2025 - July 31, 2026
STERLING CAPITAL DISTRIBUTORS, LLC
June 26, 2025 - July 31, 2026
NORTHERN FUNDS DISTRIBUTORS, LLC
January 2, 2025 - July 31, 2026
DISTRIBUTION SERVICES, LLC
December 10, 2024 - July 31, 2026
PARNASSUS FUNDS DISTRIBUTOR, LLC
January 11, 2024 - July 31, 2026
FORESIDE GLOBAL SERVICES, LLC
January 10, 2023 - July 31, 2026
IMST DISTRIBUTORS, LLC
July 28, 2022 - October 11, 2023
COMPASS DISTRIBUTORS, LLC
July 28, 2022 - July 31, 2026
QUASAR DISTRIBUTORS, LLC
July 28, 2022 - July 31, 2026
FORESIDE FUNDS DISTRIBUTORS LLC
July 28, 2022 - July 31, 2026
FORESIDE FUND SERVICES, LLC
July 28, 2022 - July 31, 2026
FORESIDE FINANCIAL SERVICES, LLC
April 29, 2022 - July 11, 2022
FIDELITY BROKERAGE SERVICES LLC
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
Series 7TO
Date: 4/29/2022
General Securities Representative ExaminationCurrent Firm
STERLING CAPITAL DISTRIBUTORS, LLC
CRD#: 103934 / SEC#: , 8-52396
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
