Mark E. Westmoreland
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.
Mark E Westmoreland, who also goes by Mark Edward Westmoreland, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1987. Mark had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2015 - April 11, 2017
FORESIDE FUND SERVICES, LLC
April 9, 2012 - October 22, 2015
VOYA INVESTMENT MANAGEMENT CO. LLC
February 21, 2012 - October 22, 2015
VOYA INVESTMENTS DISTRIBUTOR, LLC
July 8, 2008 - January 25, 2012
AMERICAN CENTURY INVESTMENT SERVICES INC.
November 4, 1998 - July 8, 2008
ALLIANCEBERNSTEIN INVESTMENTS, INC.
October 7, 1997 - June 12, 1998
SIGNATOR FINANCIAL SERVICES, INC.
July 7, 1987 - November 19, 1996
CAPITAL BROKERAGE CORPORATION
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.
