Kathleen A. Jarvis
Professional summary
Kathleen Ann Jarvis, who also goes by Kathleen Ann Barrick, Kathy Barrick, Nee Barrick, Kathleen Ann Barrickjarvis, Barrick Jarvis, Kate Jarvis, Kathleen Jarvis, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine.
Kathleen is registered as a RR (Registered Representative) and started their career in finance in 1988. Kathleen has worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Ann Jarvis's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 12, 2024 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101April 30, 2021 - July 12, 2024
LION STREET FINANCIAL, LLC
November 14, 2007 - May 4, 2021
FSC SECURITIES CORPORATION
November 3, 2000 - February 26, 2007
J.P. MORGAN CLEARING CORP.
November 3, 2000 - February 26, 2007
J.P. MORGAN SECURITIES LLC
November 13, 1996 - June 23, 2000
CHICAGO CAPITAL, INC.
December 10, 1993 - November 10, 1995
MESIROW FINANCIAL, INC.
September 10, 1993 - January 1, 1994
MESIROW INVESTMENT SERVICES, INC.
May 19, 1993 - July 29, 1993
J.P. MORGAN SECURITIES LLC
May 13, 1992 - April 26, 1993
LEHMAN BROTHERS INC.
October 25, 1990 - May 15, 1992
WELLS FARGO CLEARING SERVICES, LLC
November 4, 1989 - October 19, 1990
UBS FINANCIAL SERVICES INC.
April 19, 1988 - January 16, 1989
WILLIAM BLAIR
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/12/2024)
(9/12/2024)
Exams
FINRA
Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/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 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Red Flags
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Company Information
FORESIDE FUND SERVICES, LLC
CRD#: 46106Portland, ME 04101TRUST BUT VERIFY
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