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RF

Robert Fischer

FORESIDE FUNDS DISTRIBUTORS LLC
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 2373737
RF

Professional summary

Robert Fischer, who also goes by Robert William Fischer, is a registered financial professional currently at FORESIDE FUNDS DISTRIBUTORS LLC located in Greenwich, Connecticut.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1993. Robert has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert William Fischer

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Fischer's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 12, 2020 - Present

FORESIDE FUNDS DISTRIBUTORS LLC

Office #1: 600 Steamboat Road Suite 202, Greenwich, CT 06830
BD
CRD#: 31334
Greenwich, CT
Past

October 23, 2017 - February 28, 2020

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

January 7, 2014 - October 24, 2017

INSPEREX LLC

BD
CRD#: 101420
New York, NY
Past

February 28, 2013 - December 3, 2013

SANTANDER US CAPITAL MARKETS LLC

BD
CRD#: 150696
NEW YORK, NY
Past

April 26, 2012 - September 30, 2013

PIERPONT CAPITAL ADVISORS LLC

BD
CRD#: 108424
NEW YORK, NY
Past

July 24, 2009 - April 10, 2012

STORMHARBOUR SECURITIES LP

BD
CRD#: 35997
NEW YORK, NY
Past

December 2, 2008 - June 12, 2009

CRT CAPITAL GROUP LLC

BD
CRD#: 28830
STAMFORD, CT
Past

December 1, 1993 - June 12, 2008

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(6/12/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 3/1/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/30/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/20/2017
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FORESIDE FUNDS DISTRIBUTORS LLC
440 FINANCIAL DISTRIBUTORS, INC. | PFPC DISTRIBUTORS, INC. | FORESIDE FUNDS DISTRIBUTORS LLC | FIRST DATA DISTRIBUTORS, INC. | BNY MELLON DISTRIBUTORS LLC | BNY MELLON DISTRIBUTORS INC.

CRD#: 31334 / SEC#: , 8-45467

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 01/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS LLCDIRECTOR OWNER/SOLE MEMBER
BRUNNER, JENNIFER ANNEVP/CHIEF COMPLIANCE OFFICER1137783
COWAN, TERESA MARIA KAZMIERSKIPRESIDENT/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145

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.

Company Information

FORESIDE FUNDS DISTRIBUTORS LLC

CRD#: 31334Greenwich, CT 06830

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