John C. Shalloe
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.
John Conor Shalloe was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 12 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2020 - November 11, 2025
FORESIDE FUND SERVICES, LLC
August 12, 2016 - March 12, 2020
MORGAN STANLEY
August 12, 2016 - March 12, 2020
MORGAN STANLEY
December 3, 2014 - September 3, 2015
NEUBERGER BERMAN BD LLC
December 3, 2014 - September 3, 2015
NEUBERGER BERMAN BD LLC
November 29, 2010 - January 7, 2014
TCW FUNDS DISTRIBUTORS LLC
April 24, 2007 - December 9, 2010
MWAM DISTRIBUTORS, LLC
February 27, 2006 - April 23, 2007
LINCOLN FINANCIAL DISTRIBUTORS, INC.
May 29, 2001 - April 23, 2007
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 6, 1996 - March 17, 1998
U.S. BANCORP ADVISORS, LLC
June 6, 1996 - October 1, 1996
MORGAN STANLEY DW INC.
June 18, 1992 - February 13, 1996
MORGAN STANLEY DW INC.
August 25, 1989 - January 18, 1990
PRUDENTIAL EQUITY GROUP, LLC
January 3, 1989 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
December 20, 1984 - January 20, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 21, 1984 - November 8, 1984
BECKER PARIBAS INCORPORATED
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
Current 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
