Roger Papeo
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.
Roger Papeo was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1988. Roger had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6 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
September 21, 2022 - October 18, 2023
FORESIDE FUND SERVICES, LLC
December 23, 2015 - October 1, 2020
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
June 13, 2001 - February 10, 2014
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
April 17, 1997 - January 21, 1999
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
December 20, 1995 - May 24, 2001
PRUCO SECURITIES, LLC.
September 4, 1990 - September 26, 1995
PRUDENTIAL MUTUAL FUND DISTRIBUTORS, INC.
October 26, 1989 - March 19, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 5, 1989 - June 20, 1989
MLB INVESTMENTS, LTD.
August 25, 1988 - April 11, 1989
MONMOUTH INVESTMENTS, INC.
February 17, 1988 - July 28, 1988
FORESTERS FINANCIAL SERVICES, 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
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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