Antony W. Courtney
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.
Antony William Courtney, who also goes by Antony William Courtney, Tony Courtney, Antony W Courtney, was a registered financial professional .
Antony is a previously registered financial professional and started their career in finance in 1987. Antony had worked at 11 firms and has passed the Series 63, Series 65, Series 7TO, Series 7, Series 6, Series 4, Series 53 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
February 16, 2021 - July 5, 2022
FORESIDE FUND SERVICES, LLC
November 18, 2009 - January 3, 2011
NEWPORT INVESTMENT MANAGEMENT LLC
February 25, 2008 - February 9, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 1, 2007 - February 9, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 22, 2006 - August 24, 2007
JANUS HENDERSON DISTRIBUTORS US LLC
July 29, 2005 - April 7, 2006
ALPS DISTRIBUTORS, INC.
April 18, 2000 - March 22, 2005
BLACKROCK EXECUTION SERVICES
October 31, 1994 - March 17, 2000
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
March 9, 1992 - September 29, 1994
VOYAGEUR INVESTMENTS, INC.
February 15, 1990 - January 1, 1992
MFS FINANCIAL SERVICES, INC.
February 21, 1989 - November 22, 1989
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
October 19, 1987 - December 19, 1988
NEW ENGLAND SECURITIES
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: 2/12/2021
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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