Brian T. Haley
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.
Brian Thomas Haley was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2001. Brian had worked at 7 firms and has passed the Series 63, Series 65, Series 7TO, 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
June 8, 2022 - July 24, 2024
FORESIDE FUNDS DISTRIBUTORS LLC
April 13, 2017 - June 8, 2018
FUNDS DISTRIBUTOR, LLC
April 14, 2011 - August 16, 2016
NEUBERGER BERMAN BD LLC
August 26, 2010 - August 16, 2016
NEUBERGER BERMAN BD LLC
June 30, 2010 - September 2, 2010
EQUITABLE DISTRIBUTORS, LLC
July 22, 2009 - July 2, 2010
EQUITABLE ADVISORS, LLC
January 23, 2008 - April 16, 2009
EQUITABLE DISTRIBUTORS, LLC
September 4, 2002 - March 19, 2003
EQUITABLE ADVISORS, LLC
November 21, 2001 - May 1, 2002
COMMONWEALTH ASSOCIATES
February 23, 2001 - August 24, 2001
WALL STREET ACCESS
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
Series 7TO
Date: 6/8/2022
General Securities Representative ExaminationCurrent Firm
FORESIDE FUNDS DISTRIBUTORS LLC
CRD#: 31334 / SEC#: , 8-45467
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VP/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/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 |
Red Flags
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