Team Bios

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Below are biographies of Foreside’s senior staff members:

TRUDANCE L.C. BAKKE v_cards

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.

RICHARD J. BERTHY v_cards

Chief Executive Officer
rberthy@foreside.com
BS, Miami University

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. He holds FINRA Series 7, 24, 28, 63, 79 and 99 registrations.

MARK A. FAIRBANKS v_cards

Business Head, Distribution Services
mfairbanks@foreside.com
BS, University of Southern Maine

Mr. Fairbanks is responsible for managing the distribution services associated with Foreside’s multiple broker-dealers. Mr. Fairbanks has been with Foreside since 1996 and has more than 26 years of experience in the financial services industry. Prior to Foreside he was manager of the examination staff at First Investors Corporation, a retail broker-dealer. He holds FINRA Series 7, 24, 63, 79 and 99 registrations.

JENNIFER E. HOOPES v_cards

Business Head, Consulting and Global Business
jhoopes@foreside.com
BA, Yale University; JD, Northeastern University School of Law

Ms. Hoopes is Head of Foreside’s Consulting and Global Business, through which Foreside provides services to broker-dealers, investment advisers and NFA-registered firms. Ms. Hoopes has been in the securities industry for over ten years and served as General Counsel to Foreside for seven years, prior to which she practiced securities and regulatory law representing financial institutions and investment advisers. Ms. Hoopes continues to serve as Senior Legal Adviser to Foreside’s executive management. Ms. Hoopes is an elected member of FINRA’s District #11 Committee and an appointed member of FINRA’s Standing Committee on Communications with the Public.

CHRISTOPHER LANZA v_cards

Chief Operating Officer
clanza@foreside.com
BS, 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. He holds FINRA Series 7 registration.

SAMANTHA SWIFT v_cards

Managing Director, Risk & Corporate Compliance
sswift@foreside.com
BA, Randolph-Macon Woman’s College

Ms. Swift is responsible for overseeing Foreside’s risk and corporate compliance programs, including information security, business continuity, due diligence, and code of ethics. She previously served as the regulatory coordinator for Foreside’s broker-dealers, and also provided compliance and technology support for the distribution business. Prior to joining Foreside in 2009, Ms. Swift worked in the business and securities law group of a Portland, Maine law firm, and was a Revenue Specialist Supervisor managing the legal department of the Florida Department of Revenue-Child Support Enforcement.

CHUCK TODDv_cards

Business Head, Fund Officer 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.

DAVID WHITAKER v_cards

President
dwhitaker@foreside.com
BA, Providence College; JD, Suffolk University Law School

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.

JOSEF VALDMAN v_cards

Managing Director
jvaldman@foreside.com
BA, State University of New York Purchase College

Mr. Valdman is responsible for managing Foreside’s Business Development and Capital Introductions Groups. Prior to rejoining Foreside, he was the Director of Business Development at Lumina Fund Management, and Alternative Investment Manager. He also served as Vice President and Head of Northeast Sales at ETF Securities (US), the world’s largest issuer of Commodity Exchange Traded Products. Joe holds both FINRA series 7 and 63 registrations.

The Rest of the Team

JUDITH COYE BERESSI

JUDITH COYE BERESSI v_cards

Director, Human Resources
jberessi@foreside.com
BA Bowdoin College

Ms Beressi oversees the Human Resource function for Foreside. Prior to joining Foreside, she was an SVP of Human Resources at TD Bank. During her 23 years with the bank, she served as the HR executive for a variety of business units, as well as managing the Employee Relations/HR Compliance departments.

RONALD C. BERGE

RONALD C. BERGE v_cards

Director, Advertising Compliance
rberge@foreside.com
MA, Temple University; JD, Widener University School of Law

Mr. Berge manages the review of client advertising and the supervision of client registered representatives. He has been with the firm and its predecessor firms since 1999. 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, 26, 63 and 99 registrations.

EMMY L. BERNARD

EMMY L. BERNARDE v_cards

Managing Director, Client Management
ebernard@foreside.com
BA, Trinity College; MSc, London School of Economics

Ms. Bernard has over 15 years of relationship management and capital raising expertise in the financial services industry on both the buy and sell sides. For the past ten years she served as Managing Director of Business Development & Investor Relations at two hedge funds based in New York City and Connecticut. Prior she held roles at investment banks Merrill Lynch, UBS and Citi. Ms. Bernard joined Foreside in early 2016 to oversee client management for the firm.

SUSAN M. CHAMBERLAIN

SUSAN M. CHAMBERLAIN v_cards

Managing Director
schamberlain@foreside.com
BA, University of Texas; MBA, University of Denver

With over 30 years’ experience in the investment management industry, Ms. Chamberlain has served as CCO and COO to several registered investment advisory firms. Her experience spans private equity, hedge funds, real estate, mutual funds and institutional investment managers.

NANETTE K. CHERN

NANETTE K. CHERN v_cards

Distributor 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.

BILL COX

BILL COX v_cards

Chief Administrative Officer
bcox@foreside.com
BS, Southern New Hampshire University

Prior to joining Foreside, Mr. Cox was responsible for managing Fund Administration operations for multiple client relationships at State Street Corp. In his role there as a Department Head, he oversaw financial reporting, compliance, treasury and blue sky operations. Prior to State Street, Bill held managerial positions in financial reporting and compliance operations at Putnam Investments, Inc., and served as a Senior Auditor at Arthur Andersen & Co.

BRUNO DI STEFANO

BRUNO DI STEFANO v_cards

Director, Client Management
bdistefano@foreside.com
BA, The Richard Stockton College of New Jersey

Mr. Di Stefano is responsible for client management for Foreside’s mutual fund clients. Mr. Di Stefano has been with firm and its predecessor firms since 1993. His prior financial experience includes life insurance sales with Prudential and being a member of the Philadelphia Stock Exchange as an Options Trader. He holds FINRA Series 7, 24, 63 and 99 registrations.

JENNIFER DIVALERIO

JENNIFER DIVALERIO v_cards

Managing Director, Broker-Dealer Compliance
jdivalerio@foreside.com
BS, University of Delaware

Prior to joining Foreside in 2012, she served as the VP of a broker-dealer and was responsible for marketing review, representative supervision and continuing education programs. In addition she was responsible for new rule interpretations and developed compliance manuals, written supervisory procedures, code of ethics, and marketing guidebooks. She holds FINRA Series 7, 24, 26, 28, 63, and 99 registrations.

BRAD DRAKE

BRAD DRAKE v_cards

Director, Registration & Supervision
bdrake@foreside.com
BBA, Tiffin University

Mr. Drake is responsible for overseeing Foreside’s registered representative and supervisory support services. He joined Foreside in 2007 and has over 15 years of experience in financial services. Prior to joining Foreside, he held leadership roles at Nationwide Financial where he conducted office examinations and reviewed advertising materials. Mr. Drake has also held management positions while working with managed accounts, portfolio analysis, trading, and deferred compensation plans. He holds the Series 7, 26, 79 and 63 registrations.

SONJA FORMATO

SONJA FORMATOv_cards

National Account Manager
sformato@foreside.com
BA, University of Massachusetts at Amherst; MBA, Boston University

Ms. Formato joined Foreside as a National Account Manag¬er in November 2014. Prior to joining Foreside, she worked as a Relationship Manager with Fidelity Investments. While at Fidelity, among other responsibilities, Ms. Formato managed multiple strategic relationships with investment management firms, consulted on product, positioning and marketing strategies to increase distribution and led the build-out of Fidelity’s FundsNetwork Distributor Service Model. Ms. Formato has over 25 years of experience in the financial industry assisting clients in navigating the distribution landscape. Ms. Formato earned her MBA from Boston University and her B.A. degree in Finance from the University of Massachusetts at Amherst. She holds her FINRA Series 7 registration.

SUSAN N. GALLANT

SUSAN N. GALLANTv_cards

Director, Client Management
sgallant@foreside.com
BA, University of Southern Maine

Ms. Gallant is responsible for client service for Foreside’s mutual fund and private fund business. Ms. Gallant has over 24 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

MEREDITH HENNING v_cards

Manager Director, Advertising Compliance
Broker-Dealer Chief Compliance Officer
mhenning@foreside.com
BS, Quinnipiac University

Ms. Henning joined Foreside in 2005. She oversees the advertising compliance function for open- and closed-end funds, exchange-traded products, commodity pools and private placements. Prior to joining Foreside, she was a manager of client services for a Chicago-based mutual fund company and also served as a manager of investor services for an on-line brokerage firm. She holds FINRA series 7, 24, 63 and 79 registrations.

PATRICK KENISTON

Patrick Keniston v_cards

Fund Chief Compliance Officer
pkeniston@foreside.com
BA, Tufts University; JD, University of Denver College of Law; LLM, Georgetown University Law Center

Mr. Keniston has over 12 years of experience in the financial services industry. Before joining Foreside Compliance Services, he was Vice President with Citi Fund Services, a mutual fund service provider in Boston, Massachusetts, and Counsel with Citigroup Global Transaction Services in Portland, Maine. Prior to working in the financial services industry, Mr. Keniston spent five years as a tax consultant with Ernst & Young and PricewaterhouseCoopers.

JASON KNIGHT

JASON KNIGHT v_cards

Managing Director, Broker-Dealer Operations
jknight@foreside.com
BA, University of Maine

Mr. Knight joined Foreside in 2009 and oversees Broker-Dealer operations. This includes all operational aspects related to exchange-traded products, DTCC/NSCC fund sponsorship, mutual fund dealer services and sales operations. Mr. Knight has more than 16 years of financial services experience including extensive experience with Exchange Traded Products, managing operations at Bank of America and experience as a financial advisor to high net worth investors and institutions in the Northeast with Merrill Lynch. He holds FINRA Series 7, 24 and 66 registrations.

CYNTHIA L. MORSE-GRIFFIN

CYNTHIA L. MORSE-GRIFFIN v_cards

Financial Operations Manager
cmorse-griffin@foreside.com
BS, Husson University

Ms. Morse-Griffin currently supports Foreside’s distributors’ Financial Operations Principals in ensuring that the distributors are in compliance with SEC and FINRA rules and regulations. In addition, Ms. Morse-Griffin 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.

SUSAN MOSCARITOLO

SUSAN MOSCARITOLO v_cards

Distributor 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’s distributors. 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 and 63 registrations.

TAMI PESTER

TAMI PESTERv_cards

Director, Consulting Services
tpester@foreside.com
BS, Emerson College; JD, Suffolk University Law School

Ms. Pester has over 20 years of experience in global compliance, legal and securities law. Prior to joining Foreside, Ms. Pester was Counsel and Compliance Manager at Arcadian Asset Management LLC. She also served as an attorney and compliance professional at MetLife, Standish Mellon Asset Management and State Street Global Advisor.

RACHEL PHAM

RACHEL PHAMv_cards

National Account Manager
rpham@foreside.com
BA, University of South Florida

Mrs. Pham joined Foreside as a National Account Manager in October 2014. In this role, Rachel helps build strategic partnerships with broker dealers to gain insight onto their platforms, key initiatives, research capabilities and enhanced advisor access. Prior to joining Foreside, Rachel worked as a Relationship Manger with Raymond James Financial. Mrs. Pham managed relationships with over 120 mutual fund & annuity firms and strategized with those firms on further penetrating Raymond James advisors.

Mrs. Pham earned a B.A. in Economics from the University of South Florida. She is currently enrolled in the MBA program at Saint Leo University with graduation anticipated in May 2017. Mrs. Pham holds both Series 6 and 63 registrations.

DONNA M. ROGERS

DONNA M. ROGERSv_cards

Fund Chief Compliance Officer
drogers@foreside.com
BS, 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

CHRISTOPHER W. ROLEKE v_cards

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.

WESTON SOMMERS

WESTON SOMMERS v_cards

Financial Operations Principal
wsommers@foreside.com
BS, Roger Williams University; MBA, Southern New Hampshire University; CPA

Mr. Sommers has been with Foreside since 2006. He serves as Foreside’s distributors’ FinOp. He monitors the financial status of the Distributor to ensure regulatory compliance with SEC and FINRA rules and regulations. Prior to joining Foreside, Mr. Sommers was with a local accounting firm. Mr. Sommers holds FINRA Series 27 and 99 registrations.

JULIE WALSH

JULIE WALSHv_cards

Managing Director, NFA Member Services
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.