Louis C. Lucido
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.
Louis Charles Lucido, who also goes by Louis C Lucido, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1986. Louis had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6, Series 3 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
January 2, 2015 - January 3, 2019
FORESIDE FUND SERVICES, LLC
March 24, 2010 - December 31, 2014
QUASAR DISTRIBUTORS, LLC
May 19, 1994 - June 6, 1997
SOUTH GROUP INVESTMENT SERVICES, INC.
May 26, 1992 - August 12, 1994
RANIERI & CO., INC.
June 25, 1991 - March 31, 1992
ADVANTAGE CAPITAL CORPORATION
July 14, 1988 - January 18, 1991
PERSHING LLC
October 29, 1987 - July 9, 1988
CITIGROUP GLOBAL MARKETS INC.
July 25, 1987 - June 3, 1988
MERRILL LYNCH GOVERNMENT SECURITIES INC.
January 21, 1986 - November 16, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH 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.
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