Vanessa K. Sea
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.
Vanessa Kathryn Sea was a registered financial professional .
Vanessa is a previously registered financial professional and started their career in finance in 2007. Vanessa had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2017 - August 9, 2022
FORESIDE FUND SERVICES, LLC
December 3, 2013 - June 1, 2016
PT ASSET MANAGEMENT, LLC
December 3, 2013 - June 1, 2016
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
November 4, 2011 - November 8, 2013
WILLIAM BLAIR
November 4, 2011 - November 8, 2013
WILLIAM BLAIR
April 30, 2008 - October 11, 2011
NEUBERGER BERMAN BD LLC
August 9, 2007 - October 11, 2011
NEUBERGER BERMAN BD 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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