Joffrey H. Pearlman
Professional summary
Joffrey Harris Pearlman, who also goes by Joffrey H Pearlman, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in New York, New York.
Joffrey is registered as a RR (Registered Representative) and started their career in finance in 1991. Joffrey has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joffrey Harris Pearlman's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 23, 2022 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 299 Park Avenue 25th Floor, New York, NY 10171October 25, 2019 - June 3, 2022
FORESIDE FUND SERVICES, LLC
July 16, 2014 - September 23, 2019
TRANSAMERICA CAPITAL, LLC
December 3, 2012 - July 8, 2014
HARTFORD FUNDS DISTRIBUTORS, LLC
September 20, 2012 - December 3, 2012
GLOBAL ATLANTIC DISTRIBUTORS, LLC
December 20, 2011 - March 8, 2012
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
February 22, 2011 - August 28, 2012
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
September 1, 2010 - February 18, 2011
BIC DISTRIBUTORS, LLC
February 26, 2003 - August 17, 2007
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC
February 4, 1991 - April 7, 2010
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS 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
(6/23/2022)
(6/23/2022)
(6/23/2022)
(6/23/2022)
(6/23/2022)
(6/23/2022)
(3/11/2024)
Exams
FINRA
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
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