Foreside Leadership Bios
RICHARD J. BERTHY
President and Partner, Foreside Financial Group, LLC
BS, Miami University
With over twenty-five years of experience in the financial services and mutual fund industries, including management and ownership positions with registered investment advisors, Mr. Berthy has been with Foreside as a partner since its inauguration as an independent firm. Mr. Berthy serves as President of Foreside Financial Group and is responsible for aspects of the firm’s management.
Mr. Berthy holds FINRA Series 7, 28, and 63 registrations.
email: rberthy@foresides.com tel: (207) 553-2322 x2
TRUDI L.C. BAKKE
Director, FORESIDE MANAGEMENT SERVICES, Foreside Financial Group, LLC
BS; University of Maine, CPA
Prior to joining Foreside, Ms. Bakke was responsible for managing 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 the corporate accounting and broker-dealer finance matters. Prior to this she was a senior auditor at Coopers & Lybrand LLP. Ms. Bakke holds the position of Treasurer for a number of funds serviced by Foreside and is responsible for all aspects of Foreside's Treasurer/PFO service delivery and development.
email: tbakke@foresides.com tel: (207) 553-7127
SIMON D. COLLIER
consultant and Partner, Foreside Financial Group, LLC
BA; ACIB, Institute of Bankers, United Kingdom
With over twenty-three years experience in the securities processing industry, Mr. Collier joined Foreside in May 2005 where he provides certain Sarbanes-Oxley services to a number of Foreside’s clients. In addition to his work for Foreside, Mr. Collier is the founder of Sondent Group, LLC, an unaffiliated consulting firm. Prior to his current positions, he was Chief Operating Officer of Citigroup's Global Fund Services business, and also held various management positions within the securities businesses of Chase and HSBC
email: scollier@foresides.com tel: (203) 409-3454
PETER R. GUARINO
Managing Director, Foreside Compliance Services, LLC
BA, Rutgers University; JD, Suffolk University Law School
With Foreside since 2004, Mr. Guarino has more than twenty-two years of mutual fund and broker-dealer experience. For three years he served as General Counsel and Global Compliance Officer for MiFund, Inc., a privately held company in San Francisco, CA. Previously, he worked for GT Global Group of Funds in several capacities last serving as Senior Counsel to the firm. Prior to this, Mr. Guarino was Counsel to The Dreyfus Corporation in New York, NY. In addition, Mr. Guarino has lead a regional sales and operations division for Merrill Corporation and has run his own mutual fund consulting firm.
email: pguarino@foresides.com tel: (207) 553-7117
MARK S. REDMAN
Director, Foreside Distributors, LLC
Ohio State University, Columbus, OH – B.S.B.A. - Finance
Mr. Redman has 28 years experience in the financial services industry, including 17 years in mutual fund administration and distribution. Prior to joining Foreside, he was a Vice President at JPMorgan’s Worldwide Securities group. Previous to that he worked as an independent consultant in the area of mutual fund setup, distribution and development and also held a number of senior positions at The Bisys Group. Mr. Redman holds the FINRA registered designations of 7, 24, and 63 and serves as President of Foreside’s six affiliated broker-dealer firms.
email: mredman@foresides.com tel: (614) 470-8156
DAVID M. WHITAKER
CHIEF OPERATING OFFICER, Foreside Financial Group, LLC
BA, Providence College; JD, Suffolk University Law School
Prior to joining Foreside, Mr. Whitaker was Managing Member of Beacon Fund Services, LLC, a consulting services firm. For three years prior, Mr. Whitaker served as Vice President of Citigroup Fund Services, LLC where he managed fund administration services. Prior to joining Citigroup, Mr. Whitaker spent four years as an attorney and compliance officer with PFPC, Inc., a mutual fund service provider.
email: dwhitaker@foresides.com tel: (207) 553-7142
News
Jul 1 2008
Foreside is pleased to extend its existing service relationship with RMR Advisors, Inc. more
Jun 16 2008
Foreside welcomes the Allstate Financial Investment Trust as a new client of our firm. more
May 27 2008
Rich Berthy will assume the role of President, Foreside Financial Group, LLC from May 30th, 2008. more
May 07 2008
Foreside leases new office space in Columbus, OH to meet expansion plans. more
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