Vina Aileen F. Farrales
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.
Vina Aileen Feria Farrales, who also goes by V Aileen Farrales, V Aileen Feria Farrales, Vaileen Farrales, was a registered financial professional .
Vina Aileen is a previously registered financial professional and started their career in finance in 1995. Vina Aileen had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 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 13, 2020 - December 31, 2022
FORESIDE FUND SERVICES, LLC
December 17, 2009 - December 22, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
February 10, 2005 - July 29, 2020
LPL FINANCIAL LLC
February 10, 2005 - July 29, 2020
LPL FINANCIAL LLC
April 26, 2004 - January 28, 2005
TRANSAMERICA FINANCIAL ADVISORS, INC.
April 5, 2004 - January 28, 2005
TRANSAMERICA FINANCIAL ADVISORS, INC.
June 18, 2003 - August 18, 2003
NATIONAL PLANNING CORPORATION
June 13, 2003 - August 18, 2003
NATIONAL PLANNING CORPORATION
March 29, 1995 - June 10, 2003
TRANSAMERICA FINANCIAL ADVISORS, 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
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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