HH
Heather L. Hjelm
FORESIDE FUND SERVICES
New York, NY 10017
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CRD#: 5694406
HH
Professional summary
Heather Lorie Hjelm, who also goes by Heather Hjelm, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in New York, New York and FORESIDE FUNDS DISTRIBUTORS LLC located in New York, New York.
Heather is registered as a RR (Registered Representative) and started their career in finance in 2009. Heather has worked at 10 firms and has passed the Series 66, SIE, Series 87, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Heather Hjelm
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Heather Lorie Hjelm's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 7, 2022 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 685 3rd Avenue, Floor 31, New York, NY 10017BD
CRD#: 46106
New York, NY
Current
December 19, 2022 - Present
FORESIDE FUNDS DISTRIBUTORS LLC
Office #1: 685 3rd Avenue, Floor 31, New York, NY 10017BD
CRD#: 31334
New York, NY
Current
January 3, 2023 - Present
FUNDS DISTRIBUTOR, LLC
Office #1: 685 3rd Avenue, Floor 31, New York, NY 10017BD
CRD#: 7174
New York, NY
Current
July 21, 2023 - Present
FORESIDE FINANCIAL SERVICES, LLC
Office #1: 685 3rd Avenue, Floor 31, New York, NY 10017BD
CRD#: 148477
New York, NY
Current
August 29, 2023 - Present
FORESIDE GLOBAL SERVICES, LLC
Office #1: 685 3rd Avenue, Floor 31, New York, NY 10017BD
CRD#: 147382
New York, NY
Current
August 29, 2023 - Present
PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC
Office #1: 685 3rd Avenue, Floor 31, New York, NY 10017BD
CRD#: 143809
New York, NY
Current
April 30, 2026 - Present
IMST DISTRIBUTORS, LLC
Office #1: 685 3rd Avenue, Floor 31, New York, NY 10017BD
CRD#: 130745
New York, NY
Past
March 11, 2022 - October 11, 2023
COMPASS DISTRIBUTORS, LLC
BD
CRD#: 172662
Garden City, NY
Past
January 22, 2013 - April 1, 2022
RAFFERTY CAPITAL MARKETS, LLC
BD
CRD#: 23682
GARDEN CITY, NY
Past
September 7, 2009 - December 20, 2012
BARCLAYS CAPITAL INC.
RIA
CRD#: 19714
NEW YORK, NY
Past
August 31, 2009 - December 20, 2012
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/3/2023)
RR
Alaska(1/3/2023)
RR
Arizona(1/3/2023)
RR
Arkansas(1/3/2023)
RR
California(1/3/2023)
RR
Colorado(1/3/2023)
RR
Connecticut(1/3/2023)
RR
Delaware(1/3/2023)
RR
District of Columbia(1/3/2023)
RR
Florida(1/3/2023)
RR
Georgia(1/3/2023)
RR
Hawaii(1/3/2023)
RR
Idaho(1/3/2023)
RR
Illinois(1/3/2023)
RR
Indiana(1/3/2023)
RR
Iowa(1/3/2023)
RR
Kansas(1/3/2023)
RR
Kentucky(1/3/2023)
RR
Louisiana(1/3/2023)
RR
Maine(1/3/2023)
RR
Maryland(1/3/2023)
RR
Massachusetts(1/3/2023)
RR
Michigan(1/3/2023)
RR
Minnesota(1/3/2023)
RR
Mississippi(1/3/2023)
RR
Missouri(1/3/2023)
RR
Montana(1/3/2023)
RR
Nebraska(1/3/2023)
RR
Nevada(1/3/2023)
RR
New Hampshire(1/3/2023)
RR
New Jersey(1/3/2023)
RR
New Mexico(1/3/2023)
RR
New York(1/3/2023)
RR
North Carolina(1/3/2023)
RR
North Dakota(1/3/2023)
RR
Ohio(1/3/2023)
RR
Oklahoma(1/3/2023)
RR
Oregon(1/3/2023)
RR
Pennsylvania(1/3/2023)
RR
Puerto Rico(1/3/2023)
RR
Rhode Island(1/3/2023)
RR
South Carolina(1/3/2023)
RR
South Dakota(1/3/2023)
RR
Tennessee(1/3/2023)
RR
Texas(1/3/2023)
RR
Utah(1/3/2023)
RR
Vermont(1/3/2023)
RR
Virgin Islands(1/3/2023)
RR
Virginia(1/3/2023)
RR
Washington(1/3/2023)
RR
West Virginia(1/3/2023)
RR
Wisconsin(1/3/2023)
RR
Wyoming(1/3/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
ID
IMST DISTRIBUTORS, LLC
FORESIDE DISTRIBUTION PARTNERS, LLC | PNC FUND DISTRIBUTOR, LLC | PNC FUND DISTRIBUTOR, INC. | MERCANTILE INVESTMENT SERVICES, INC. | IMST DISTRIBUTORS, LLC
CRD#: 130745 / SEC#: , 8-66389
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 01/01/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / 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.
