Marc J. Brookman
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.
Marc J Brookman, who also goes by Mark J Brookman, Marc Jerold Brookman, was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1987. Marc had worked at 11 firms and has passed the Series 63, Series 6TO, SIE, Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2022 - December 31, 2023
FORESIDE FUND SERVICES, LLC
July 27, 2018 - February 18, 2022
SCHRODER FUND ADVISORS LLC
June 1, 2009 - July 18, 2018
MORGAN STANLEY
August 28, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
December 1, 2005 - December 20, 2005
FRANKLIN DISTRIBUTORS, LLC
June 22, 2004 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
February 23, 1999 - May 7, 2004
NYLIFE DISTRIBUTORS LLC
February 8, 1999 - February 6, 2002
NYLIFE SECURITIES LLC
February 12, 1996 - October 26, 1998
UAM FUND DISTRIBUTORS, INC.
December 13, 1991 - December 8, 1995
OCC DISTRIBUTORS LLC
December 13, 1989 - January 23, 1991
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
February 26, 1987 - October 16, 1987
CINCINNATI ANALYSTS, INC.
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts 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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