Timothy E. Hatfield
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.
Timothy Edward Hatfield, who also goes by Tim Hatfield, Timothy Edward Hatfield, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1998. Timothy had worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 26 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2024 - August 4, 2026
FORESIDE FUND SERVICES, LLC
April 10, 2023 - June 12, 2024
ATHENE SECURITIES, LLC
March 21, 2015 - June 11, 2024
GRIFFIN CAPITAL SECURITIES, LLC
November 2, 2011 - April 1, 2015
CCO CAPITAL, LLC
March 27, 2007 - February 2, 2011
EQUITABLE DISTRIBUTORS, LLC
October 4, 2002 - March 19, 2007
EVERLAKE DISTRIBUTORS, LLC
August 19, 1999 - October 4, 2002
AFD, INC.
April 1, 1998 - July 16, 1999
LASALLE FINANCIAL SERVICES, INC.
March 13, 1998 - April 1, 1998
ALLSTATE FINANCIAL SERVICES, LLC
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
What does exam status mean?
Series 26
Passed: 3/13/2001
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.
