Sarah E. Alderman
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.
Sarah Elisabeth Alderman, who also goes by Sarah E Alderman, Sarah Elisabeth Anderson, Sarah Elizabeth Anderson, Sarah Elisabeth Alderman, was a registered financial professional .
Sarah is a previously registered financial professional and started their career in finance in 2000. Sarah had worked at 8 firms and has passed the Series 66, SIE, Series 3, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2020 - August 22, 2022
FORESIDE FUND SERVICES, LLC
August 10, 2017 - December 27, 2018
PRONET FINANCIAL PARTNERS LLC
January 6, 2009 - July 23, 2015
BARCLAYS CAPITAL INC.
December 10, 2008 - July 23, 2015
BARCLAYS CAPITAL INC.
March 8, 2006 - November 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 2006 - November 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 18, 2005 - March 8, 2006
ADVEST, INC.
January 3, 2005 - March 8, 2006
ADVEST, INC.
October 20, 2004 - January 3, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - January 3, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 17, 2004 - October 20, 2004
QUICK & REILLY, INC.
May 12, 2004 - October 20, 2004
QUICK & REILLY, INC.
May 6, 2004 - May 25, 2004
LEHMAN BROTHERS INC.
October 3, 2000 - May 25, 2004
LEHMAN BROTHERS 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
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.
