Michael D. Cathey
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.
Michael David Cathey was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1993. Michael had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 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
November 22, 2017 - August 31, 2018
FORESIDE FUND SERVICES, LLC
January 22, 2016 - November 20, 2017
QUASAR DISTRIBUTORS, LLC
April 4, 2008 - September 27, 2012
NORTHERN TRUST SECURITIES, INC.
September 26, 2001 - February 15, 2008
BNY MELLON SECURITIES CORPORATION
April 19, 2000 - February 15, 2008
BNY MELLON SECURITIES CORPORATION
April 7, 1998 - April 11, 2000
LASALLE FINANCIAL SERVICES, INC.
November 23, 1994 - March 31, 1998
IDS LIFE INSURANCE COMPANY
November 23, 1994 - March 31, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
February 22, 1993 - November 30, 1994
WADDELL & REED
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
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