Nanette K. Chern
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.
Nanette King Chern, who also goes by Nanette Amy Chern, Nanette Amy King, was a registered financial professional .
Nanette is a previously registered financial professional and started their career in finance in 1995. Nanette had worked at 24 firms and has passed the Series 79TO, SIE, Series 7, Series 14 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
May 16, 2019 - December 31, 2024
PARNASSUS FUNDS DISTRIBUTOR, LLC
January 19, 2018 - November 14, 2019
SMEAD FUNDS DISTRIBUTORS, LLC
January 19, 2018 - November 14, 2019
STERLING CAPITAL DISTRIBUTORS, LLC
January 19, 2018 - November 14, 2019
FORESIDE DISTRIBUTION SOLUTIONS, LLC
January 19, 2018 - November 14, 2019
MGI FUNDS DISTRIBUTORS, LLC
January 19, 2018 - November 14, 2019
FORESIDE GLOBAL SERVICES, LLC
January 19, 2018 - November 14, 2019
FORESIDE FUNDS DISTRIBUTORS LLC
January 19, 2018 - November 14, 2019
FORESIDE FINANCIAL SERVICES, LLC
January 19, 2018 - November 14, 2019
FAIRHOLME DISTRIBUTORS, LLC
December 7, 2017 - October 11, 2023
COMPASS DISTRIBUTORS, LLC
November 28, 2014 - December 31, 2024
ORBIS INVESTMENTS (U.S.), LLC
October 12, 2011 - April 30, 2025
PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC
March 17, 2011 - November 14, 2019
IMST DISTRIBUTORS, LLC
March 17, 2011 - May 1, 2020
BD COMPLIANCE SOLUTIONS, LLC
March 17, 2011 - August 3, 2020
FORESIDE ASSOCIATES, LLC
March 17, 2011 - December 31, 2024
FORESIDE DISTRIBUTION SERVICES, L.P.
March 17, 2011 - April 30, 2025
NORTHERN FUNDS DISTRIBUTORS, LLC
March 17, 2011 - April 30, 2025
FUNDS DISTRIBUTOR, LLC
January 28, 2010 - October 11, 2022
FORESIDE INVESTMENT SERVICES, LLC
April 23, 2009 - December 21, 2009
FORESIDE PLAZA DISTRIBUTORS, LLC
November 10, 1999 - January 12, 2004
FIRST LEGACY SECURITIES, LLC
January 7, 1999 - April 30, 2025
FORESIDE FUND SERVICES, LLC
March 13, 1996 - December 18, 2003
FORUM FINANCIAL SERVICES, LLC
June 6, 1995 - December 18, 2003
ARK FUNDS DISTRIBUTORS, LLC
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
PARNASSUS FUNDS DISTRIBUTOR, LLC
CRD#: 15883 / SEC#: , 8-32878
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | CHIEF COMPLIANCE OFFICER AND VICE PRESIDENT | 1137783 |
| 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 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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