Paul F. Pani
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.
Paul F Pani, who also goes by Paul F Pani, Paul Frank Pani Jr, Paul Frank Pani Mr., Paul Frank Pani, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1991. Paul had worked at 9 firms and has passed the Series 63, SIE 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
September 10, 2018 - October 5, 2018
FORESIDE FUND SERVICES, LLC
March 5, 2014 - September 16, 2016
IAM CAPITAL CORPORATION
January 22, 2014 - March 4, 2014
VP DISTRIBUTORS LLC
October 25, 2011 - October 29, 2013
CCO CAPITAL, LLC
May 21, 2009 - October 10, 2011
ALPS DISTRIBUTORS, INC.
February 3, 2009 - March 30, 2009
FORESIDE FUND SERVICES, LLC
October 17, 2003 - November 5, 2008
NATIXIS DISTRIBUTION, LLC
February 8, 1999 - November 12, 2002
LEVCO SECURITIES, INC.
August 5, 1996 - April 29, 1997
UBS ASSET MANAGEMENT (US) INC.
October 20, 1994 - October 18, 1996
UBS FINANCIAL SERVICES INC.
September 16, 1991 - July 24, 1992
UBS 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
