Christine An
Professional summary
Christine An, CFP®, CIMA® is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in New York, New York.
Christine is registered as a RR (Registered Representative) and started their career in finance in 2008. Christine has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christine An's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 12, 2024 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 19 West 44th Street 7th Floor, New York, NY 10036July 29, 2022 - April 11, 2023
NUVEEN ASSET MANAGEMENT, LLC
June 7, 2022 - April 11, 2023
NUVEEN SECURITIES, LLC
November 12, 2014 - May 17, 2022
TCW INVESTMENT MANAGEMENT COMPANY LLC
November 6, 2014 - May 17, 2022
TCW FUNDS DISTRIBUTORS LLC
December 2, 2013 - October 13, 2014
HSBC SECURITIES (USA) INC.
December 2, 2013 - October 13, 2014
HSBC SECURITIES (USA) INC.
August 27, 2013 - October 9, 2013
IMPERIAL CAPITAL, LLC
January 20, 2012 - May 3, 2013
ASSETMARK, INC.
January 20, 2012 - May 3, 2013
CAPITAL BROKERAGE CORPORATION
November 9, 2010 - November 30, 2011
STRATEGIC ADVISERS LLC
July 23, 2010 - November 29, 2011
FIDELITY BROKERAGE SERVICES LLC
February 25, 2010 - July 2, 2010
U.S. BANCORP INVESTMENTS, INC.
August 5, 2008 - February 26, 2009
COREBRIDGE CAPITAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
FINRA
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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