Stephen H. Loizeaux
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephen Hayward Day Loizeaux, who also goes by Stephen H D Loizeaux, Stephen Haywardday Loizeaux, Steve Loizeaux, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1982. Stephen had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 2 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2015 - October 12, 2020
FORESIDE FUND SERVICES, LLC
February 6, 2003 - January 16, 2008
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
June 1, 2001 - September 30, 2002
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
October 8, 1998 - April 11, 2001
METROPOLITAN LIFE INSURANCE COMPANY
October 8, 1998 - April 11, 2001
MSI FINANCIAL SERVICES, INC.
April 28, 1995 - May 20, 1998
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
May 9, 1990 - February 3, 1995
CONFEDERATION FINANCIAL SERVICES (U.S.), INC.
June 10, 1988 - July 29, 1988
RUTHERFORD, BROWN & CATHERWOOD, LLC
September 20, 1984 - June 30, 1986
UNUM SALES CORPORATION
December 2, 1982 - December 26, 1984
GREEN HILL FINANCIAL SERVICE CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 2
Date: 8/17/1989
Non-Member General Securities ExaminationCurrent Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/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 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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