Katherine Storch
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.
Katherine Storch was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 2005. Katherine had worked at 12 firms and has passed the 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
February 9, 2018 - July 8, 2019
FORESIDE FUND SERVICES, LLC
June 9, 2015 - December 12, 2017
BNY MELLON SECURITIES CORPORATION
December 19, 2013 - May 11, 2015
HSBC SECURITIES (USA) INC.
September 12, 2013 - November 18, 2013
LPL FINANCIAL LLC
January 15, 2013 - August 23, 2013
GWM GROUP, INC.
September 7, 2010 - June 18, 2012
1851 SECURITIES, INC
August 30, 2010 - June 18, 2012
SAYBRUS EQUITY SERVICES, LLC
February 4, 2009 - September 24, 2010
AXCELUS FINANCIAL DISTRIBUTION COMPANY
January 16, 2008 - February 4, 2009
VP DISTRIBUTORS LLC
April 2, 2007 - January 9, 2008
MORGAN STANLEY & CO. LLC
May 2, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
January 27, 2005 - May 5, 2005
NYLIFE SECURITIES 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
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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