CS
Caleb A. Sternberg
SMEAD FUNDS DISTRIBUTORS
Phoenix, AZ 85016
CRD#: 8068765
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CS
Caleb Andrew SternbergSMEAD FUNDS DISTRIBUTORS
Professional summary
Caleb Andrew Sternberg, who also goes by Caleb A Sternberg, Caleb Sternberg, is a registered financial professional currently at SMEAD FUNDS DISTRIBUTORS, LLC located in Phoenix, Arizona.
Caleb is registered as a RR (Registered Representative) and started their career in finance in 2025. Caleb has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Caleb A Sternberg | Caleb Sternberg
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 Caleb Andrew Sternberg'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 4, 2026 - Present
SMEAD FUNDS DISTRIBUTORS, LLC
Office #1: 2502 East Camelback Road Suite 210, Phoenix, AZ 85016BD
CRD#: 173734
Phoenix, AZ
Past
July 12, 2025 - February 2, 2026
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
SCOTTSDALE, AZ
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(3/4/2026)
RR
Alaska(3/4/2026)
RR
Arizona(3/11/2026)
RR
Arkansas(3/4/2026)
RR
California(3/4/2026)
RR
Colorado(3/4/2026)
RR
Connecticut(3/4/2026)
RR
Delaware(3/4/2026)
RR
District of Columbia(3/4/2026)
RR
Florida(3/4/2026)
RR
Georgia(3/4/2026)
RR
Hawaii(3/4/2026)
RR
Idaho(3/4/2026)
RR
Illinois(3/4/2026)
RR
Indiana(3/4/2026)
RR
Iowa(3/4/2026)
RR
Kansas(3/4/2026)
RR
Kentucky(3/4/2026)
RR
Louisiana(3/4/2026)
RR
Maine(3/4/2026)
RR
Maryland(3/4/2026)
RR
Massachusetts(3/4/2026)
RR
Michigan(3/4/2026)
RR
Minnesota(3/4/2026)
RR
Mississippi(3/4/2026)
RR
Missouri(3/4/2026)
RR
Montana(3/4/2026)
RR
Nebraska(3/4/2026)
RR
Nevada(3/4/2026)
RR
New Hampshire(3/4/2026)
RR
New Jersey(3/4/2026)
RR
New Mexico(3/4/2026)
RR
New York(3/4/2026)
RR
North Carolina(3/4/2026)
RR
North Dakota(3/4/2026)
RR
Ohio(3/4/2026)
RR
Oklahoma(3/4/2026)
RR
Oregon(3/4/2026)
RR
Pennsylvania(3/4/2026)
RR
Rhode Island(3/4/2026)
RR
South Carolina(3/4/2026)
RR
South Dakota(3/4/2026)
RR
Tennessee(3/4/2026)
RR
Texas(3/4/2026)
RR
Utah(3/4/2026)
RR
Vermont(3/4/2026)
RR
Virginia(3/4/2026)
RR
Washington(3/4/2026)
RR
West Virginia(3/4/2026)
RR
Wisconsin(3/4/2026)
RR
Wyoming(3/4/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/11/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SMEAD FUNDS DISTRIBUTORS, LLC
SMEAD FUNDS DISTRIBUTORS, LLC | VT DISTRIBUTORS LLC | VONTOBEL DISTRIBUTORS LLC
CRD#: 173734 / SEC#: , 8-69550
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 07/24/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/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 |
| TAYLOR, GORDON BURDETTE | CHIEF COMPLIANCE OFFICER AND VICE PRESIDENT | 2990648 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
