Gregg K. Jones
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.
Gregg Kenneth Jones, who also goes by Gregg Kenneth Jones Mr., was a registered financial professional .
Gregg is a previously registered financial professional and started their career in finance in 1993. Gregg had worked at 8 firms and has passed the Series 66, Series 7TO, 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
December 2, 2015 - November 15, 2021
FORESIDE FUND SERVICES, LLC
April 23, 2015 - December 2, 2015
3D ASSET MANAGEMENT, INC.
October 22, 2014 - February 12, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 21, 2014 - February 12, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 24, 2009 - August 9, 2013
COHEN & STEERS SECURITIES, LLC
October 3, 2005 - March 11, 2009
ALLIANCEBERNSTEIN L.P.
June 21, 2004 - March 11, 2009
ALLIANCEBERNSTEIN INVESTMENTS, INC.
February 5, 2004 - March 29, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 17, 1993 - March 2, 1994
NATIONAL SECURITIES CORPORATION
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: 3/28/2024
General Securities Representative ExaminationCurrent 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
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