Martin C. Harmon
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.
Martin Christopher Harmon III, who also goes by Martin Christopher Harmon, was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1998. Martin had worked at 7 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2024 - August 18, 2026
FORESIDE FUND SERVICES, LLC
March 7, 2014 - August 18, 2014
PAULSON INVESTMENT COMPANY LLC
February 15, 2013 - March 4, 2014
CLARK DODGE & CO., INC.
December 5, 2012 - December 6, 2012
ADVANCED EQUITIES, INC.
April 21, 2009 - June 1, 2010
HUDSON PARTNERS SECURITIES LLC
June 9, 2006 - January 24, 2007
OPTIONS TRADING ASSOCIATES LLC
June 29, 1998 - November 21, 2005
OTA 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: 1/2/2024
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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