Ernest W. Fok
Professional summary
Ernest Winghei Fok, who also goes by Ernest Winghei Fok, Ernest Fok, is a registered financial professional currently at FORESIDE FINANCIAL SERVICES, LLC located in Portland, Maine and QUASAR DISTRIBUTORS, LLC located in Portland, Maine.
Ernest is registered as a RR (Registered Representative) and started their career in finance in 2022. Ernest has worked at 12 firms and has passed the Series 63, Series 7TO, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ernest Winghei Fok's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 28, 2022 - Present
FORESIDE FINANCIAL SERVICES, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101July 28, 2022 - Present
QUASAR DISTRIBUTORS, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101July 28, 2022 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101July 28, 2022 - Present
FORESIDE FUNDS DISTRIBUTORS LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101January 10, 2023 - Present
IMST DISTRIBUTORS, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101January 11, 2024 - Present
FORESIDE GLOBAL SERVICES, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101December 10, 2024 - Present
PARNASSUS FUNDS DISTRIBUTOR, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101January 2, 2025 - Present
DISTRIBUTION SERVICES, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101June 26, 2025 - Present
NORTHERN FUNDS DISTRIBUTORS, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101November 7, 2025 - Present
STERLING CAPITAL DISTRIBUTORS, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101July 28, 2022 - October 11, 2023
COMPASS DISTRIBUTORS, 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
(2/22/2024)
(1/3/2023)
Exams
Series 7TO
Date: 4/29/2022
General Securities Representative ExaminationFINRA
Current 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
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Company Information
STERLING CAPITAL DISTRIBUTORS, LLC
CRD#: 103934Portland, ME 04101TRUST BUT VERIFY
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