James P. Gruver
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.
James Paul Gruver II, who also goes by James Paul Gruver, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 8 firms and has passed the Series 63, SIE, Series 3, 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
September 11, 2023 - February 27, 2026
FORESIDE FUNDS DISTRIBUTORS LLC
February 23, 2016 - May 3, 2023
HEITMAN SECURITIES LLC
July 2, 2007 - May 30, 2013
BNY MELLON SECURITIES CORPORATION
October 5, 2004 - July 2, 2007
MELLON FUNDS DISTRIBUTOR, L.P.
July 25, 2003 - December 31, 2005
MBSC, LLC
February 13, 2001 - October 4, 2001
INVESTOR FORCE SECURITIES, INC.
January 30, 1997 - May 4, 2000
DELAWARE DISTRIBUTORS, L.P.
November 15, 1994 - November 28, 1995
SEI INVESTMENTS DISTRIBUTION CO.
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 FUNDS DISTRIBUTORS LLC
CRD#: 31334 / SEC#: , 8-45467
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VP/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/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 |
Red Flags
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