James G. Stehli
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.
James Grant Stehli, who also goes by James Stehli, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1991. James had worked at 8 firms and has passed the Series 63, SIE, Series 7 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
June 22, 2023 - April 16, 2025
FORESIDE FUNDS DISTRIBUTORS LLC
April 24, 2014 - February 17, 2023
MIZUHO SECURITIES USA LLC
February 1, 2011 - April 23, 2014
CRT CAPITAL GROUP LLC
February 26, 2009 - January 28, 2011
AK CAPITAL LLC
December 1, 2000 - November 5, 2007
UBS SECURITIES LLC
January 28, 1995 - December 1, 2000
UBS FINANCIAL SERVICES INC.
August 4, 1992 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
January 1, 1991 - April 8, 1991
JPMSI
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 FUNDS DISTRIBUTORS LLC
CRD#: 31334 / SEC#: , 8-45467
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 | VP/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
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