Daniel M. Willsey
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.
Daniel Micah Willsey, who also goes by Dan Willsey, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2019. Daniel had worked at 2 firms and has passed the Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2019 - May 4, 2022
FORESIDE INVESTMENT SERVICES, LLC
July 2, 2019 - May 4, 2022
FORESIDE FUND SERVICES, 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
Series 7TO
Date: 7/2/2019
General Securities Representative ExaminationCurrent Firm
FORESIDE INVESTMENT SERVICES, LLC
CRD#: 30016 / SEC#: , 8-44681
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| CHERN, NANETTE KING | CHIEF COMPLIANCE OFFICER/VP | 1718029 |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | FINOP | 5290145 |
| WHETSTONE, KELLY BOWERS | SECRETARY | 5380134 |
Disclosures
| Regulatory Event | 1 |
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.
