James R. Grant
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.
James Richard Grant JR, who also goes by James Richard Grant Jr., Jim Grant, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 12 firms and has passed the Series 66, 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
April 7, 2015 - April 28, 2017
FORESIDE FUND SERVICES, LLC
July 20, 2004 - August 17, 2011
CBIS FINANCIAL SERVICES, INC.
May 8, 2003 - November 25, 2003
ARBORHEDGE INVESTMENTS, INC.
May 1, 2002 - November 26, 2002
HARRISDIRECT LLC
November 15, 2001 - November 26, 2002
HARRISDIRECT LLC
August 31, 2001 - May 1, 2002
HARRIS INVESTORLINE INC.
April 3, 2000 - November 21, 2000
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
January 16, 1998 - May 11, 2000
WELLS FARGO CLEARING SERVICES, LLC
October 23, 1992 - November 24, 1997
KEYBANC CAPITAL MARKETS INC.
January 4, 1990 - November 23, 1992
PNC CAPITAL MARKETS LLC
June 6, 1989 - November 24, 1989
RODMAN & RENSHAW INC.
April 24, 1986 - April 1, 1989
L. F. ROTHSCHILD & CO. INCORPORATED
October 29, 1985 - June 24, 1986
PRUCO 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
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.
