Holly M. Cavalier
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.
Holly Marie Cavalier, who also goes by Holly Marie Depolo, was a registered financial professional .
Holly is a previously registered financial professional and started their career in finance in 1989. Holly had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2015 - May 2, 2018
FORESIDE FUND SERVICES, LLC
November 25, 2008 - December 4, 2013
VICTORY CAPITAL SERVICES, INC.
December 19, 2007 - December 4, 2013
VICTORY CAPITAL MANAGEMENT INC.
September 27, 2006 - February 20, 2007
KEYBANC CAPITAL MARKETS INC.
September 4, 2006 - March 19, 2007
KEYBANC CAPITAL MARKETS INC.
December 17, 2003 - October 18, 2006
VICTORY CAPITAL MANAGEMENT INC.
June 30, 1995 - July 23, 1998
KEY CLEARING CORP.
November 8, 1989 - April 13, 1995
FORESIDE DISTRIBUTION SERVICES, L.P.
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.
