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Kevin Kreig Herridge

CRD# 847373·Registered 1978 - 2007
Previously Registered: Being a previously registered professional could mean that Kevin 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.

Professional Summary

Kevin Kreig Herridge was a registered financial advisor. Kevin was a previously registered financial professional and started their career in finance 1978 - 2007. Kevin had worked at 12 firms and has passed the Series 63, Series 7, Series 27, Series 53, Series 24 and Series 4 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

48 years in the financial services industry

Current & Past Employments

FRANKLIN ROSS, INC.·CRD# 43610
BD
Princeton, NJ
February 1, 2006 - November 5, 2007
GRAYSON FINANCIAL LLC·CRD# 11764
BD
Red Bank, NJ
April 27, 2004 - June 22, 2006
CARLTON CAPITAL INC.·CRD# 42533
BD
New York, NY
October 31, 2003 - January 6, 2004
ADAMSON BROTHERS INC.·CRD# 46684
BD
Rochelle Park, NJ
July 17, 2002 - December 19, 2003
DONALD & CO. SECURITIES INC.·CRD# 7776
BD
Tinton Falls, NJ
July 13, 1998 - May 10, 2001
CAPITAL INTERNATIONAL SECURITIES GROUP, INC.·CRD# 29771
BD
Miami, FL
May 13, 1997 - September 16, 1997
AUGMENT SECURITIES INC.·CRD# 28373
BD
New York, NY
July 29, 1992 - August 28, 1993
DURIAN SECURITIES, INC.·CRD# 16290
BD
June 15, 1989 - March 28, 1991
DREXEL BURNHAM LAMBERT INCORPORATED·CRD# 7323
BD
December 2, 1986 - March 30, 1989
WS GRIFFITH SECURITIES, INC.·CRD# 10410
BD
February 28, 1985 - June 20, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
June 10, 1980 - August 7, 1984
SEABOARD SECURITIES, INC.·CRD# 755
BD
January 3, 1978 - February 21, 1980

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Current Firm

FR
FRANKLIN ROSS, INC.

FRANKLIN ROSS, INC. | THE FRANKLIN TRUST CORPORATION | NETREACH CAPITAL GROUP, INC.

CRD#: 43610 / SEC#: 8-50356
BD
Cancelled by SEC on 04/06/2011

Contact Information

Established

Florida since 06/05/1997

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
ROSS, MARK GERALD JRSHAREHOLER/RR/EXEC VICE PRES1287721
HORN, CHARLES LEONARDSHAREHOLDER3139046
HERRIDGE, KEVIN KREIGCEO/COO/DOC/PRESIDENT847373
HERRIDGE, SUMMA, FRANKLIN-ROSS, LLCSHAREHOLDER—

Disclosures

Regulatory Event

7

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1998About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Dec 1977About the Series 7 exam

Series 27 — Financial and Operations Principal Examination

Passed Nov 1998About the Series 27 exam

Series 53 — Municipal Securities Principal Examination

Passed Oct 1998About the Series 53 exam

Series 24 — General Securities Principal Examination

Passed Jul 1996About the Series 24 exam

Series 4 — Registered Options Principal Examination

Passed Jul 1985About the Series 4 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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