Michael W. Anderson
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.
Michael Werner Anderson, who also goes by Mike Anderson, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1990. Michael had worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2008 - November 17, 2021
FORESIDE FUND SERVICES, LLC
July 2, 2007 - September 29, 2008
BNY MELLON SECURITIES CORPORATION
April 19, 2006 - July 2, 2007
MELLON FUNDS DISTRIBUTOR, L.P.
January 1, 2005 - April 5, 2006
MMC SECURITIES LLC
April 5, 2004 - January 1, 2005
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
June 26, 2001 - March 3, 2004
VOYA RETIREMENT ADVISORS, LLC
January 23, 1990 - July 17, 2000
NYLIFE SECURITIES LLC
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 7TO
Date: 11/5/2022
General Securities Representative 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
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