Keith J. Chatterton
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.
Keith Joseph Chatterton, who also goes by Keith J Chatterton, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1990. Keith had worked at 10 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2013 - September 25, 2015
FORESIDE DISTRIBUTION SOLUTIONS, LLC
April 1, 2013 - September 22, 2015
PNC CAPITAL ADVISORS LLC
August 1, 2012 - March 12, 2013
BB&T INSTITUTIONAL INVESTMENT ADVISERS, INC.
June 14, 1996 - June 14, 2004
ADP BROKER-DEALER, INC.
January 10, 1995 - May 21, 1996
LEGG MASON WOOD WALKER, INCORPORATED
April 5, 1994 - January 19, 1995
H.J. MEYERS & CO., INC.
January 6, 1994 - April 5, 1994
CONSECO SECURITIES, INC.
December 6, 1993 - December 20, 1993
HIMCO DISTRIBUTION SERVICES COMPANY
November 22, 1993 - April 8, 1994
CHEMICAL INVESTOR SERVICES, INC.
August 1, 1990 - November 18, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 DISTRIBUTION SOLUTIONS, LLC
CRD#: 118787 / SEC#: , 8-53686
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | OWNER | |
| BERTHY, RICHARD JOHN MR. | PRESIDENT/MANAGER/DIRECTOR/TREASURER | 1341368 |
| DIVALERIO, JENNIFER KAY | VICE PRESIDENT | 3236826 |
| FAIRBANKS, MARK ALAN | VICE PRESIDENT | 1847318 |
| HOOPES, JENNIFER ELLEN | SECRETARY | 5462575 |
| MOSCARITOLO, SUSAN KALLAI | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 2618909 |
| SOMMERS, WESTON | FINANCIAL AND OPERATIONS PRINCIPAL | 5290145 |
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.
