Dorothy A. Denny
Professional summary
Dorothy Ann Denny, who also goes by Dorothy A Denny, is a registered financial professional currently at FORESIDE FINANCIAL SERVICES, LLC located in Olathe, Kansas and IMST DISTRIBUTORS, LLC located in Olathe, Kansas.
Dorothy is registered as a RR (Registered Representative) and started their career in finance in 2006. Dorothy has worked at 11 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 6, Series 24, Series 51 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dorothy Ann Denny's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 13, 2025 - Present
FORESIDE FINANCIAL SERVICES, LLC
October 13, 2025 - Present
IMST DISTRIBUTORS, LLC
October 13, 2025 - Present
QUASAR DISTRIBUTORS, LLC
October 13, 2025 - Present
FORESIDE FUND SERVICES, LLC
October 13, 2025 - Present
FORESIDE FUNDS DISTRIBUTORS LLC
February 20, 2025 - September 3, 2025
LPL FINANCIAL LLC
February 21, 2023 - June 7, 2023
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
August 7, 2013 - April 25, 2019
IVY DISTRIBUTORS, INC.
February 25, 2011 - August 23, 2021
WADDELL & REED
January 30, 2008 - February 1, 2011
AMERICAN CENTURY BROKERAGE, INC.
April 3, 2006 - February 1, 2011
AMERICAN CENTURY INVESTMENT SERVICES 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
Series 7TO
Date: 9/30/2022
General Securities Representative ExaminationFINRA
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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