Below are biographies of Foreside’s senior staff members:
Chief Financial Officer
tbakke@foreside.com
BS, University of Maine; CPA
Ms. Bakke is responsible for all of Foreside’s financial operations. Prior to joining Foreside, she managed the reporting, finance and tax aspects of fund administration of Citigroup’s Global Transaction Services business. In her 10 years at Citigroup, she also managed corporate accounting and broker-dealer finance matters. Prior to this, she was with Coopers & Lybrand LLP.
President and Partner
rberthy@foreside.com
BS, Miami University
Mr. Berthy serves as President of Foreside Financial Group and is responsible for all aspects of the firm’s management. Mr. Berthy holds FINRA Series 7, 28, and 79 registrations. With over 25 years of experience in the financial services and mutual fund industries, including management and ownership positions with registered investment advisers, Mr. Berthy has been with Foreside as a partner since its inception.
Business Head, IP Services
sbrennan@foreside.com
BS, St. Anselm’s College
Mr. Brennan serves as the business head of Foreside’s intellectual property division where he is responsible for the development of new product initiatives and services. Prior to joining Foreside, Mr. Brennan owned a consulting firm where he developed 2 U.S. patents related to financial instruments. Prior to that, Mr. Brennan spent over 20 years at various financial institutions, including Investors Bank & Trust (President of Merrimac Funds), Northern Trust, Cantor Fitzgerald, American Express, The Boston Company and Bear Stearns.
Business Head, Medallion Distribution Services
mfairbanks@foreside.com
BS Economics, University of Southern Maine
Mr. Fairbanks has more than 22 years of experience in the financial services industry, including eight years as a Surveillance Analyst and Manager of the examination staff at First Investors Corporation. As President of Foreside Distributors, he is responsible for managing the distribution services associated with Foreside’s multiple broker-dealers. Mr. Fairbanks holds FINRA Series 7, 24, 63 and 79 registrations. He has been with Foreside since 1996.
Business Head, Foreside Funds Distributors
jfulgoney@foreside.com
JD, Harvard Law School
Mr. Fulgoney became President of the Distributor in January 2011. He holds FINRA Series 7, 24 and 63 licenses. John is responsible for the overall management of the distributor. He was the General Counsel of PNC GIS for ten years, when his duties included oversight of the legal and compliance aspects of the distributor and the asset servicing businesses of fund accounting, transfer agent and custody. John joined PNC in 1991 from the law firm of Dechert.
Business Head, Active Distribution Solutions
kgreene@foreside.com
BA, Honors Program, Boston College
Mr. Greene manages our active distribution business including sales, marketing, client relations and intermediary business development. He has over 30 years of financial services distribution experience including roles as financial adviser and wholesaler of Blackrock Funds and OppenheimerFunds. He has provided high value-added sales, marketing and product development strategies and senior leadership for firms such as John Hancock Mutual Funds.
Business Head, Exchange-Traded Product Services
clanza@foreside.com
BS, Accounting, Northeastern University
Mr. Lanza has more than 25 years of experience in investment management and securities processing operations management. Prior to Foreside, he was a Product Director for Citigroup Asia Fund Services based out of Mumbai and Hong Kong. Mr. Lanza he has also held senior management positions at AGF Funds Inc., Price Waterhouse Investment Management Consulting, Charles Schwab Investment Management, and Mitsubishi Union Bank of California. Mr. Lanza holds FINRA Series 7 registration.
Business Head, Compliance Services
smosher@foreside.com
BA, Manhattanville College; JD, Saint Louis University School of Law
Ms. Mosher heads Foreside’s Alternative Investment and Compliance Services business lines and also serves as fund CCO for investment company clients. Prior to joining Foreside, she was CCO of a private fund adviser located in California. She also was Senior Director and Chief Counsel of the Compliance Advisory Services division of Investors Bank & Trust Company (“IBT”) and prior to that headed legal administration at IBT for nine years.
Business Head, M&A Services
mredman@foreside.com
BSBA, The Ohio State University
Mr. Redman has 30 years of experience in the financial services industry, including 20 years in mutual fund administration and distribution. Prior to joining Foreside, he was a VP at JPMorgan’s Worldwide Securities group. Previously, he worked as an independent consultant in the area of mutual fund setup, distribution and development and also held senior positions at The BISYS Group. He holds the FINRA registered designations of 7, 24, 27, 63 and 79.
Business Head, Sarbanes-Oxley Services
ctodd@foreside.com
BS, University of New Hampshire
Mr. Todd is responsible for administering our Sarbanes-Oxley compliance and consulting services and serves as PFO for certain fund clients. Prior to joining Foreside, Mr. Todd served as a Vice President for JPMorgan Investor Services, where he managed the financial reporting aspects of the firm’s fund administration business. Prior to this, he was a Financial Reporting Manager with State Street.
Chief Operating Officer
dwhitaker@foreside.com
BA, Providence College; JD, Suffolk University Law School
Mr. Whitaker is responsible for all of Foreside’s operations. Prior to joining Foreside, he was Managing Member of a financial services consulting firm. Previously, he served as Vice President of Citigroup, where he managed fund administration services. Mr. Whitaker also served as an attorney and compliance officer with PFPC, Inc., a mutual fund service provider.
BRENT C. ARVIDSON
Fund Principal Financial Officer
barvidson@foreside.com
BS, Northeastern University; MBA, Babson College
Prior to joining Foreside, Mr. Arvidson was responsible for managing the financial reporting process and audits for all mutual funds, hedge funds and UCITS at Grantham, Mayo, Van Otterloo, LLC. In his 12 years at GMO, he was also responsible for various treasury and tax matters related to GMO’s pooled products. Prior to GMO, he held other mutual fund administration positions at John Hancock Funds and Investors Bank and Trust Company.
RONALD C. BERGE
Vice President, Foreside Funds Distributors
rberge@foreside.com
MA, Temple University; JD, Widener University School of Law
Mr. Berge serves as a Vice President of Foreside Fund Distributors. Mr. Berge has been with the Firm since 1999 and manages the review of client advertising and the supervision of client registered representatives. Before entering the financial services industry, Mr. Berge worked in the environmental impact consulting industry, specializing in archaeology sites and farmlands. He holds FINRA Series 7 and 26 registrations.
SUSAN M. CHAMBERLAIN
Managing Director, Compliance Services
schamberlain@foreside.com
BA, University of Texas; MBA, University of Denver
With 30 years experience in the investment management industry, Ms. Chamberlain serves as CCO to a Chicago investment adviser. She heads Foreside’s Chicago office and oversees the delivery of compliance services within the greater Chicago area. Previously she was COO and CCO at Quantlab Capital Management, a registered investment adviser managing private and proprietary funds.
NANETTE K. CHERN
Broker-Dealer Chief Compliance Officer
nchern@foreside.com
BA, Swarthmore College; JD, Fordham University Law School
With Foreside since 1995, Ms. Chern has more than 25 years of experience within securities-related law, including three years with the U.S. Securities and Exchange Commission regional office in New York and seven years as assistant counsel at First Investors Corporation. As CCO, her responsibilities include all broker-dealer, distribution, AML and compliance risk management matters. She holds FINRA Series 7, 24 and 79 registrations.
LISA CLIFFORD
Director of Compliance, Medallion Distribution Services
lclifford@foreside.com
BS, State University of New York
Ms. Clifford has over 20 years of experience in the financial services industry, including 16 years as Assistant Vice President – Compliance at Lincoln Financial Group, and three years as a Senior Analyst with FINRA’s Advertising Regulation Department. Ms. Clifford joined Foreside as the Director of Compliance in April 2011. She holds the Series 7 and 24 registrations.
BRUNO DI STEFANO
Vice President, Foreside Funds Distributors
bdistefano@foreside.com
BA, Stockton State College
Mr. Di Stefano serves as a Vice President of Foreside Funds Distributors. His duties include overseeing the accruals and disbursements made pursuant to Rule 12b-1 plans and the negotiation and signing of selling agreements. Mr. Di Stefano has been with firm since 1993. He is licensed with the FINRA and holds Series 6, 7, 24, 26 and 63 licenses. His prior financial experience includes life insurance sales with Prudential and being a member of the Philadelphia Stock Exchange as an Options Trader.
SUSAN N. GALLANT
Director of Client Management
sgallant@foreside.com
Business Administration, University of Southern Maine
Ms. Gallant is responsible for client service for Foreside’s mutual fund and private fund business. Ms. Gallant has over 20 years of experience in the financial services industry. Prior to joining Foreside, Ms. Gallant spent 10 years at Citigroup responsible for the coordination of client management services to full service mutual fund clients. Ms. Gallant also spent 10 years with Maine Bankers Association.
MEREDITH HENNING
Director of ETP Sales & Advertising
mhenning@foreside.com
BS, Quinnipiac University
Ms. Henning joined Foreside in 2005. In addition to acting as CCO to Foreside Investment Services, she oversees the sales and advertising review compliance function of Foreside’s exchanged traded product services. Prior to joining Foreside, she was manager of client services for a Chicago based mutual fund company and also served as manager of investor services for an on-line brokerage firm. She holds FINRA series 7, 79, 24 and 63 registrations.
JENNIFER E. HOOPES
Counsel
jhoopes@foreside.com
BA, Yale University; JD, Northeastern University School of Law
Ms. Hoopes serves as corporate counsel to Foreside Financial Group and oversees all legal matters pertaining to Foreside. Ms. Hoopes also serves as primary counsel to Foreside’s broker-dealers and provides legal guidance on compliance and regulatory matters. Prior to joining Foreside, she was an attorney with a large Portland, Maine law firm, where she practiced general business law with a focus on banking and securities and advised both financial institutions and investment advisor clients on regulatory compliance issues.
JASON KNIGHT
Director of ETP Client Management & AP Operations
jknight@foreside.com
BA, Business Economics, University of Maine
Mr. Knight oversees Client Management and Authorized Participant Operations for the Exchange-Traded Product business. Mr. Knight has more than 13 years of financial services experience including seven years managing operations with Bank of America and experience as a financial advisor to high net worth investors and institutions in the Northeast with Merrill Lynch. Mr. Knight holds FINRA series 7, 63 and 66 registrations.
CYNTHIA L. MORSE-GRIFFIN
Fund Principal Financial Officer
cmorse-griffin@foreside.com
BS, Husson University
Ms. Morse-Griffin currently holds the position of Treasurer/PFO for a number of funds serviced by Foreside and is responsible for many aspects of Foreside’s PEO/PFO service delivery. Prior to joining Foreside, Ms. Morse-Griffin was an Assistant Vice President within Citigroup’s Global Transaction Services for seven years where she worked within the fund administration business. Prior to this she was a senior auditor at Baker, Newman & Noyes.
SUSAN MOSCARITOLO
Broker-Dealer Chief Compliance Officer
smoscaritolo@foreside.com
BS, Bentley University; MBA, McCallum Graduate School of Business at Bentley University
Ms. Moscaritolo serves as Chief Compliance Officer to Foreside Funds Distributors LLC and its subsidiary broker/dealers. She has worked in the securities industry for 20 years and has held various management positions in Compliance and Regulatory Administration. Ms. Moscaritolo holds FINRA Series 7, 24, 6, 26 and 63 registrations.
DONNA M. ROGERS
Managing Director & Fund Chief Compliance Officer
drogers@foreside.com
BS, Carroll School of Management, Boston College
Ms. Rogers joined Foreside in 2011 from State Street Bank where she was a Senior Vice President overseeing the Compliance Advisory Services division. She served as a CCO for three mutual fund complexes comprising over $15 billion in net assets. She developed and executed extensive, risk-based testing programs of all mutual fund service providers, and has significant experience presenting to Boards of Directors/Trustees and Senior Management.
CHRISTOPHER W. ROLEKE
Fund Principal Financial Officer
croleke@foreside.com
BBA, Loyola University Maryland
Prior to joining Foreside in 2011, Mr. Roleke was Assistant Vice President – Financial Reporting GAAP and Quality Assurance Manager at JPMorgan Worldwide Securities Services (Boston, MA). Mr. Roleke was responsible for the financial reporting control environment and regulatory change management for the JPMorgan serviced funds since August 2006. Prior to joining JPMorgan, Mr. Roleke worked for ten years at Prudential Investments LLC (Newark, NJ) as Manager of Tax and Financial Reporting within the Mutual Fund Treasurer’s Office.
MATTHEW TIERNEY
Financial Operations Principal, Foreside Funds Distributors
mtierney@foreside.com
BS, U.S. Air Force Academy; MFin, St. Joseph University
Matthew Tierney is the Distributor’s FINOP. He monitors the financial status of the Distributor to ensure regulatory compliance with SEC and FINRA Rules and Regulations. Mr. Tierney was for ten years a Securities Compliance Examiner with FINRA’s Philadelphia District Office- auditing the financial books and records of member broker-dealers. Before joining FINRA, Mr. Tierney was a Contracting Officer with the Department of Defense and an Operations Officer in the U.S. Air Force.
JULIE WALSH
Managing Director & Fund Chief Compliance Officer
jwalsh@foreside.com
B.A. and M.Ed., Boston College
Ms. Walsh served for 13 years as CCO of Grantham, Mayo, Van Otterloo & Co. LLC. She was responsible for the development, oversight and implementation of risk and compliance initiatives throughout GMO. Her compliance/risk oversight responsibilities included quantitative and active equity, fixed income, hedge and private funds, real estate, private equity, timber, and other alternative investment strategies. She joined Foreside in 2010.