Harold B. Bond
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.
Harold Bruce Bond, who also goes by Harold Bruce Bond Mr., Harold Bruce Bond, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1987. Harold had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2017 - October 17, 2022
FORESIDE FUND SERVICES, LLC
February 23, 2017 - September 18, 2017
QUASAR DISTRIBUTORS, LLC
October 1, 2014 - February 23, 2015
FORESIDE FUNDS DISTRIBUTORS LLC
September 18, 2006 - January 7, 2013
INVESCO DISTRIBUTORS, INC.
November 11, 2002 - September 18, 2006
ALPS DISTRIBUTORS, INC.
May 18, 1998 - August 15, 2002
NUVEEN SECURITIES, LLC
May 1, 1995 - May 19, 1998
FIRST TRUST PORTFOLIOS L.P.
March 25, 1987 - January 1, 1988
BMO CAPITAL MARKETS GKST 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 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
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.
