Heather L. Grubbs
Professional summary
Heather Lynn Grubbs, who also goes by Heather Grubbs, Heather Lynn Vajda, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Broomfield, Colorado.
Heather is registered as a RR (Registered Representative) and started their career in finance in 2002. Heather has worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Heather Lynn Grubbs's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 6, 2024 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 1200 Entrepreneurial Drive, Broomfield, CO 80021July 2, 2019 - February 7, 2022
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
May 12, 2016 - October 4, 2017
FIDELITY DISTRIBUTORS COMPANY LLC
September 2, 2014 - May 12, 2016
PYRAMIS DISTRIBUTORS CORPORATION LLC
June 7, 2013 - September 4, 2014
FIDELITY DISTRIBUTORS COMPANY LLC
April 23, 2007 - April 16, 2013
JANUS HENDERSON DISTRIBUTORS US LLC
June 1, 2006 - February 21, 2007
OLD MUTUAL INVESTMENT PARTNERS
November 19, 2002 - May 10, 2006
TRANSAMERICA CAPITAL, 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
Series 7TO
Date: 3/18/2024
General Securities Representative ExaminationFINRA
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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Company Information
FORESIDE FUND SERVICES, LLC
CRD#: 46106Broomfield, CO 80021TRUST BUT VERIFY
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