Steven M. Perlmutter
Professional summary
Steven Matthew Perlmutter, who also goes by Steve Perlmutter, is a registered financial professional currently at WELLINGTON FUNDS DISTRIBUTORS INC. located in Boston, Massachusetts.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1992. Steven has worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Matthew Perlmutter's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 11, 2019 - Present
WELLINGTON FUNDS DISTRIBUTORS INC.
Office #1: 280 Congress Street, Boston, MA 02210February 1, 2016 - November 13, 2017
EATON VANCE DISTRIBUTORS, INC.
January 5, 1999 - October 28, 2005
FIDELITY BROKERAGE SERVICES LLC
January 18, 1996 - December 31, 1998
FIDELITY DISTRIBUTORS COMPANY LLC
September 9, 1993 - November 23, 1994
CREDIT SUISSE SECURITIES (USA) LLC
December 7, 1992 - September 28, 1993
GLOBAL ALTERNATIVE INVESTMENT 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationFINRA
Current Firm
WELLINGTON FUNDS DISTRIBUTORS INC.
CRD#: 152768 / SEC#: , 8-68476
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLINGTON MANAGEMENT FUNDS HOLDINGS LLP | HOLDING COMPANY | |
| COYNE, LAURA ANN ESQ. | DIRECTOR | 7053320 |
| GEORGE, JEFFREY BRIAN | DIRECTOR | 8180600 |
| HAVLICEK, DESMOND ANTHONY | DIRECTOR | 2843267 |
| MACKENZIE, BRENDAN MICHAEL | DIRECTOR | 5051963 |
| MARTIN, SARA ANN | CHIEF LEGAL OFFICER | 7469775 |
| MILLEN, SARAH MACKTEZ | CHIEF FINANCIAL OFFICER | 7116565 |
| SHANNON, MARY KEHOE | DIRECTOR | 6439388 |
| SHANNON, MARY KEHOE | PRESIDENT | 6439388 |
| WILLIAMS, ASHLEY LEIGH | CHIEF COMPLIANCE OFFICER | 5498874 |
Red Flags
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Company Information
WELLINGTON FUNDS DISTRIBUTORS INC.
CRD#: 152768Boston, MA 02210TRUST BUT VERIFY
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