Joseph B. Saunders
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.
Joseph Benjamin Saunders, who also goes by Jb Saunders, Joseph Benjamin Saunders IV, Joseph Saunders, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1992. Joseph had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2024 - August 4, 2026
FORESIDE FUND SERVICES, LLC
April 11, 2023 - May 29, 2024
ATHENE SECURITIES, LLC
January 26, 2022 - May 28, 2024
GRIFFIN CAPITAL SECURITIES, LLC
November 15, 2019 - January 21, 2022
MORGAN STANLEY
November 14, 2019 - January 21, 2022
MORGAN STANLEY
July 31, 2019 - October 30, 2019
NYLIFE SECURITIES LLC
March 1, 2017 - May 30, 2018
EDWARD JONES
March 1, 2017 - May 30, 2018
EDWARD JONES
June 30, 2015 - February 28, 2017
ACCELERATED CAPITAL GROUP
October 19, 2009 - May 20, 2010
ASHLAY ASSET MANAGEMENT GROUP, INC.
February 18, 2009 - April 15, 2009
EDWARD JONES
January 16, 2009 - April 15, 2009
EDWARD JONES
March 23, 2005 - December 5, 2005
WADDELL & REED
September 26, 2002 - April 15, 2003
CAPIS
May 16, 2002 - July 18, 2002
GUNNALLEN FINANCIAL, INC
January 30, 1995 - September 8, 2001
SPELMAN & CO., INC.
September 22, 1994 - December 20, 1994
SPELMAN & CO., INC.
June 2, 1993 - September 26, 1994
REGENCY CAPITAL GROUP, INC.
May 7, 1992 - May 21, 1993
FRANKLIN-LORD, 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.
