Yolande C. Nichols
Professional summary
Yolande Cathleen Nichols, who also goes by Yolande Cathleen Bennett, Yolande Cathleen Mcwilson, Yolande Cathleen Smith, is a registered financial professional currently at FORESIDE FINANCIAL SERVICES, LLC located in Portland, Maine and IMST DISTRIBUTORS, LLC located in Portland, Maine.
Yolande is registered as a RR (Registered Representative) and started their career in finance in 2004. Yolande has worked at 13 firms and has passed the SIE, Series 7, Series 6, Series 14, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Yolande Cathleen Nichols's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 14, 2022 - Present
FORESIDE FINANCIAL SERVICES, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101January 14, 2022 - Present
IMST DISTRIBUTORS, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101January 14, 2022 - Present
QUASAR DISTRIBUTORS, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101January 14, 2022 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101January 14, 2022 - Present
FORESIDE FUNDS DISTRIBUTORS LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101April 29, 2022 - Present
PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101June 24, 2022 - Present
STERLING CAPITAL DISTRIBUTORS, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101January 17, 2024 - Present
FORESIDE GLOBAL SERVICES, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101January 14, 2022 - December 31, 2022
FUNDS DISTRIBUTOR, LLC
January 14, 2022 - December 31, 2022
FORESIDE DISTRIBUTION SERVICES, L.P.
January 14, 2022 - October 11, 2023
COMPASS DISTRIBUTORS, LLC
April 14, 2009 - February 4, 2013
GUGGENHEIM DISTRIBUTORS, LLC
January 27, 2004 - January 5, 2022
SECURITY DISTRIBUTORS
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
FINRA
Current Firm
FORESIDE GLOBAL SERVICES, LLC
CRD#: 147382 / SEC#: , 8-67903
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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Company Information
FORESIDE GLOBAL SERVICES, LLC
CRD#: 147382Portland, ME 04101TRUST BUT VERIFY
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