William J. Holtham
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.
William James Holtham JR, who also goes by William James Holtham, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1998. William had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2023 - October 31, 2025
FORESIDE FUND SERVICES, LLC
January 2, 2019 - May 1, 2023
ALPS DISTRIBUTORS, INC.
January 2, 2015 - December 31, 2018
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
October 13, 2014 - December 31, 2014
ALPS DISTRIBUTORS, INC.
May 28, 2014 - October 6, 2014
CAPITAL GUARDIAN, LLC
January 2, 2013 - May 14, 2014
MML DISTRIBUTORS, LLC
February 29, 2008 - January 2, 2013
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
October 30, 2003 - February 29, 2008
MFS FUND DISTRIBUTORS, INC.
January 8, 1998 - March 10, 2003
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
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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