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KS

Katherine Sawyer

FORESIDE FUND SERVICES
Portland, ME 04101
Some features on this profile are disabled
CRD#: 7470846
KS

Professional summary

Katherine Sawyer, who also goes by Anne Sayman, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine and FORESIDE FINANCIAL SERVICES, LLC located in Portland, Maine.

Katherine is registered as a RR (Registered Representative) and started their career in finance in 2024. Katherine has worked at 4 firms and has passed the Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Anne Sayman

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Katherine Sawyer's CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 12, 2024 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 46106
Portland, ME
Current

January 17, 2024 - Present

FORESIDE FINANCIAL SERVICES, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 148477
Portland, ME
Current

January 17, 2024 - Present

PARNASSUS FUNDS DISTRIBUTOR, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 15883
Portland, ME
Current

January 17, 2024 - Present

FUNDS DISTRIBUTOR, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 7174
Portland, ME

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 1/12/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/22/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

FD
FUNDS DISTRIBUTOR, LLC
FUNDS DISTRIBUTOR, INC. | THE BOSTON COMPANY CAPITAL GROUP, INC. | TBC FUNDS DISTRIBUTOR, INC. | FUNDS DISTRIBUTOR, LLC

CRD#: 7174 / SEC#: , 8-20518

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS, LLCSOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKIPRES/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145
STROUT, ALICIA KIMBERLYCHIEF COMPLIANCE OFFICER/VICE PRESIDENT6320351

Disclosures

Regulatory Event2

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.

Company Information

FUNDS DISTRIBUTOR, LLC

CRD#: 7174Portland, ME 04101

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