Richard J. Berthy
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.
Richard John Berthy, who also goes by Richard John Berthy Mr., was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1985. Richard had worked at 27 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 3, Series 7, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2020 - December 31, 2022
QUASAR DISTRIBUTORS, LLC
May 16, 2019 - December 31, 2022
PARNASSUS FUNDS DISTRIBUTOR, LLC
December 1, 2017 - December 31, 2022
SMEAD FUNDS DISTRIBUTORS, LLC
August 1, 2016 - December 31, 2022
FORESIDE FINANCIAL SERVICES, LLC
June 9, 2015 - December 31, 2022
COMPASS DISTRIBUTORS, LLC
November 28, 2014 - December 31, 2022
ORBIS INVESTMENTS (U.S.), LLC
July 16, 2012 - August 3, 2020
FORESIDE DISTRIBUTION SOLUTIONS, LLC
April 23, 2012 - August 3, 2020
FAIRHOLME DISTRIBUTORS, LLC
April 23, 2012 - December 31, 2022
STERLING CAPITAL DISTRIBUTORS, LLC
April 23, 2012 - December 31, 2022
MGI FUNDS DISTRIBUTORS, LLC
April 23, 2012 - December 31, 2022
FORESIDE GLOBAL SERVICES, LLC
April 23, 2012 - December 31, 2022
FORESIDE FUNDS DISTRIBUTORS LLC
October 12, 2011 - December 31, 2022
PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC
June 23, 2009 - December 21, 2009
FORESIDE PLAZA DISTRIBUTORS, LLC
June 23, 2009 - May 1, 2020
BD COMPLIANCE SOLUTIONS, LLC
June 23, 2009 - August 3, 2020
FORESIDE ASSOCIATES, LLC
June 23, 2009 - August 8, 2022
FORESIDE INVESTMENT SERVICES, LLC
June 23, 2009 - December 31, 2022
NORTHERN FUNDS DISTRIBUTORS, LLC
June 23, 2009 - December 31, 2022
IMST DISTRIBUTORS, LLC
June 23, 2009 - December 31, 2022
FUNDS DISTRIBUTOR, LLC
June 23, 2009 - December 31, 2022
FORESIDE DISTRIBUTION SERVICES, L.P.
July 11, 2005 - March 25, 2011
BERTHY CAPITAL MANAGEMENT, LLC
March 6, 2000 - December 31, 2022
FORESIDE FUND SERVICES, LLC
November 10, 1997 - March 6, 2000
ARK FUNDS DISTRIBUTORS, LLC
March 30, 1995 - November 28, 1995
A. G. EDWARDS & SONS, INC.
October 23, 1990 - March 30, 1995
J.J.B. HILLIARD, W.L. LYONS, LLC
February 21, 1985 - November 6, 1990
FINANCIAL SQUARE PARTNERS
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 28
Date: 6/17/2004
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
QUASAR DISTRIBUTORS, LLC
CRD#: 103848 / SEC#: , 8-52323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/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.
