KB
Katherine J. Bergen
FORESIDE FUND SERVICES
Denver, CO 80202
Some features on this profile are disabled
CRD#: 6193149
KB
Professional summary
Katherine Johnson Bergen, who also goes by Katie Ann Bergen, Katherine Ann Bergen, Katherine Bergen, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Denver, Colorado.
Katherine is registered as a RR (Registered Representative) and started their career in finance in 2013. Katherine has worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Katie Ann Bergen | Katherine Ann Bergen | Katherine Bergen
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 Katherine Johnson Bergen'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
September 26, 2024 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 1400 Wewatta Street Suite 360, Denver, CO 80202BD
CRD#: 46106
Denver, CO
Past
November 25, 2019 - November 22, 2021
FORESIDE FINANCIAL SERVICES, LLC
BD
CRD#: 148477
Denver, CO
Past
January 10, 2018 - October 2, 2019
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
Denver, CO
Past
June 5, 2013 - January 2, 2018
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
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(9/30/2024)
RR
Alaska(9/30/2024)
RR
Arizona(10/4/2024)
RR
Arkansas(10/2/2024)
RR
California(9/30/2024)
RR
Colorado(9/26/2024)
RR
Connecticut(9/30/2024)
RR
Delaware(10/1/2024)
RR
District of Columbia(10/4/2024)
RR
Florida(9/30/2024)
RR
Georgia(10/1/2024)
RR
Hawaii(10/10/2024)
RR
Idaho(10/1/2024)
RR
Illinois(10/23/2024)
RR
Indiana(9/30/2024)
RR
Iowa(10/1/2024)
RR
Kansas(9/30/2024)
RR
Kentucky(10/1/2024)
RR
Louisiana(10/10/2024)
RR
Maine(10/1/2024)
RR
Maryland(10/2/2024)
RR
Massachusetts(10/2/2024)
RR
Michigan(10/3/2024)
RR
Minnesota(9/30/2024)
RR
Mississippi(9/30/2024)
RR
Missouri(9/30/2024)
RR
Montana(10/3/2024)
RR
Nebraska(9/30/2024)
RR
Nevada(9/30/2024)
RR
New Hampshire(10/1/2024)
RR
New Jersey(9/30/2024)
RR
New Mexico(10/1/2024)
RR
New York(9/30/2024)
RR
North Carolina(9/30/2024)
RR
North Dakota(10/7/2024)
RR
Ohio(9/30/2024)
RR
Oklahoma(9/30/2024)
RR
Oregon(10/7/2024)
RR
Pennsylvania(10/1/2024)
RR
Rhode Island(10/1/2024)
RR
South Carolina(9/30/2024)
RR
South Dakota(9/30/2024)
RR
Tennessee(10/1/2024)
RR
Texas(10/1/2024)
RR
Utah(10/1/2024)
RR
Vermont(9/30/2024)
RR
Virginia(9/30/2024)
RR
Washington(9/30/2024)
RR
West Virginia(10/3/2024)
RR
Wisconsin(10/1/2024)
RR
Wyoming(9/30/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/11/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FORESIDE FUND SERVICES, LLC
FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
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
(207) 553-7110
Established
Delaware since 09/08/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# 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 | 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
