Sheng A. Wang
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.
Sheng Alice Wang, who also goes by Alice Wang, Sheng Wang, was a registered financial professional .
Sheng is a previously registered financial professional and started their career in finance in 2004. Sheng had worked at 7 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
August 3, 2015 - February 7, 2019
FORESIDE FUNDS DISTRIBUTORS LLC
April 6, 2009 - November 5, 2014
VOYA INVESTMENT MANAGEMENT CO. LLC
March 17, 2009 - November 5, 2014
VOYA INVESTMENTS DISTRIBUTOR, LLC
April 11, 2008 - March 18, 2009
DIRECTED SERVICES LLC
March 4, 2006 - April 1, 2008
NATCITY INVESTMENTS, INC.
March 4, 2006 - April 1, 2008
NATCITY INVESTMENTS, INC.
December 3, 2004 - January 6, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
December 3, 2004 - January 6, 2006
IDS LIFE INSURANCE COMPANY
December 3, 2004 - January 6, 2006
AMERIPRISE FINANCIAL SERVICES, 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 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
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.
