Carol A. Bommarito
Professional summary
Carol Ann Bommarito, who also goes by Carol Ann Lawrence, Carol Ann Wiwatowski, is a registered financial professional currently at FORESIDE FUNDS DISTRIBUTORS LLC located in Portland, Maine and MGI FUNDS DISTRIBUTORS, LLC located in Portland, Maine.
Carol is registered as a RR (Registered Representative) and started their career in finance in 1988. Carol has worked at 20 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carol Ann Bommarito's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 17, 2003 - Present
FORESIDE FUNDS DISTRIBUTORS LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101April 3, 2006 - Present
MGI FUNDS DISTRIBUTORS, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101October 28, 2008 - Present
FORESIDE GLOBAL SERVICES, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101June 12, 2012 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101April 11, 2013 - Present
IMST DISTRIBUTORS, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101July 18, 2018 - Present
FORESIDE FINANCIAL SERVICES, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101March 20, 2019 - Present
FUNDS DISTRIBUTOR, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101February 24, 2021 - Present
QUASAR DISTRIBUTORS, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101May 5, 2021 - Present
PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101June 22, 2022 - Present
ORBIS INVESTMENTS (U.S.), LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101January 3, 2019 - October 11, 2023
COMPASS DISTRIBUTORS, LLC
August 14, 2017 - December 31, 2022
FORESIDE DISTRIBUTION SERVICES, L.P.
August 5, 2015 - June 23, 2020
FORESIDE DISTRIBUTION SOLUTIONS, LLC
February 8, 2010 - June 23, 2020
FAIRHOLME DISTRIBUTORS, LLC
March 4, 2004 - December 5, 2008
BLACKROCK DISTRIBUTORS, INC
December 17, 2003 - January 2, 2009
NORTHERN FUNDS DISTRIBUTORS, LLC
December 17, 2003 - December 31, 2022
STERLING CAPITAL DISTRIBUTORS, LLC
April 26, 2000 - December 9, 2003
1717 CAPITAL MANAGEMENT COMPANY
February 23, 1999 - March 28, 2000
INVESTEC INC.
September 23, 1988 - February 12, 1999
VERAVEST INVESTMENTS, 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
(11/11/2013)
Exams
FINRA
Current Firm
ORBIS INVESTMENTS (U.S.), LLC
CRD#: 172663 / SEC#: , 8-69517
Contact information
FINRA licenses (53 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 |
Red Flags
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Company Information
ORBIS INVESTMENTS (U.S.), LLC
CRD#: 172663Portland, ME 04101TRUST BUT VERIFY
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