Peter A. Sykes
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.
Peter Allan Sykes, who also goes by Peter Sykes, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1988. Peter had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2023 - June 11, 2025
FORESIDE FINANCIAL SERVICES, LLC
April 13, 2018 - June 11, 2025
ARISTOTLE CAPITAL MANAGEMENT, LLC
April 4, 2018 - October 24, 2023
IMST DISTRIBUTORS, LLC
September 28, 2017 - March 13, 2018
EASTERLY FUNDS LLC
September 27, 2017 - March 13, 2018
FDX CAPITAL LLC
November 18, 2016 - May 5, 2017
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
September 22, 2016 - September 27, 2017
EASTERLY FUNDS LLC
September 15, 2015 - September 27, 2017
FDX CAPITAL LLC
March 10, 2015 - September 15, 2015
ALT FUND DISTRIBUTORS LLC
July 25, 2012 - September 8, 2014
PUTNAM INVESTMENT MANAGEMENT, LLC
July 20, 2012 - September 8, 2014
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
October 26, 2010 - August 24, 2011
GUGGENHEIM INVESTMENTS
January 26, 2009 - October 28, 2010
RYDEX ADVISORY SERVICES, LLC
March 26, 2002 - August 24, 2011
GUGGENHEIM DISTRIBUTORS, LLC
August 26, 1998 - January 18, 2002
EATON VANCE DISTRIBUTORS, INC.
February 25, 1991 - July 16, 1998
GT GLOBAL, INC.
June 1, 1989 - December 20, 1989
LEHMAN BROTHERS INC.
April 19, 1988 - June 22, 1989
DREXEL BURNHAM LAMBERT 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 FINANCIAL SERVICES, LLC
CRD#: 148477 / SEC#: , 8-68027
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/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 |
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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