Jennifer L. Cagadas
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.
Jennifer L Cagadas, who also goes by Jennifer Lee Cagadas, Jennifer Cagadas, Jenny Cagadas, Jennifer Lee Hartigan, Jennifer Hartigan, Jennifer L Hartigan, was a registered financial professional .
Jennifer is a previously registered financial professional and started their career in finance in 2006. Jennifer had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 2022 - September 27, 2022
FORESIDE FUND SERVICES, LLC
October 24, 2019 - August 28, 2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 23, 2019 - August 28, 2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 10, 2018 - August 1, 2019
NUVEEN ASSET MANAGEMENT, LLC
May 10, 2018 - August 1, 2019
NUVEEN SECURITIES, LLC
June 15, 2017 - February 16, 2018
WILLIAM BLAIR
October 18, 2016 - February 16, 2018
WILLIAM BLAIR
May 1, 2010 - October 14, 2016
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
October 9, 2008 - May 1, 2010
BOFA DISTRIBUTORS, INC.
February 2, 2007 - September 23, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
November 6, 2006 - January 19, 2007
OGILVIE SECURITY ADVISORS CORPORATION
February 17, 2006 - November 9, 2006
EQUITABLE ADVISORS, 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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