Betsy C. Heaberg
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.
Betsy Clayton Heaberg, who also goes by Betsy Katherine Clayton, Betsy Katherine Heaberg, Betsy Clayton Headberg, was a registered financial professional .
Betsy is a previously registered financial professional and started their career in finance in 1985. Betsy had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2007 - January 17, 2012
FORESIDE FUNDS DISTRIBUTORS LLC
January 2, 2002 - December 31, 2006
STERLING CAPITAL DISTRIBUTORS, LLC
June 2, 1999 - January 2, 2002
FORESIDE FUNDS DISTRIBUTORS LLC
November 3, 1998 - December 2, 1998
STRONG INVESTMENTS, INC.
December 23, 1997 - November 4, 1998
STEPHENS
April 7, 1995 - November 19, 1997
STRONG INVESTMENTS, INC.
March 4, 1993 - September 7, 1994
BERKELEY INTERNATIONAL SECURITIES CORPORATION
June 5, 1990 - February 8, 1993
NUVEEN SECURITIES, LLC
December 17, 1985 - February 6, 1990
MORGAN STANLEY DW INC.
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 FUNDS DISTRIBUTORS LLC
CRD#: 31334 / SEC#: , 8-45467
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VP/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/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 |
Red Flags
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