Nicolas J. Heethuis
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.
Nicolas John Heethuis, who also goes by Nicolas J Heethuis, Nicolas Heethuis, was a registered financial professional .
Nicolas is a previously registered financial professional and started their career in finance in 2005. Nicolas had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2012 - February 3, 2016
FORESIDE FUNDS DISTRIBUTORS LLC
March 23, 2011 - March 28, 2012
ASSETMARK, INC.
March 23, 2011 - March 28, 2012
CAPITAL BROKERAGE CORPORATION
October 19, 2010 - February 25, 2011
PARK AVENUE SECURITIES LLC
September 16, 2010 - February 25, 2011
PARK AVENUE SECURITIES LLC
March 8, 2010 - August 25, 2010
MML INVESTORS SERVICES, LLC
March 31, 2009 - February 4, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
March 12, 2009 - February 4, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
August 17, 2005 - December 18, 2008
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
June 27, 2005 - August 17, 2005
THE HUNTINGTON INVESTMENT COMPANY
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.
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