JG
James P. Gruver
FORESIDE FUNDS DISTRIBUTORS LLC
Waltham, MA 02451
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CRD#: 2510324
JG
Professional summary
James Paul Gruver II, who also goes by James Paul Gruver, is a registered financial professional currently at FORESIDE FUNDS DISTRIBUTORS LLC located in Waltham, Massachusetts.
James is registered as a RR (Registered Representative) and started their career in finance in 1994. James has worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James Paul Gruver
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.
CRS (Client Relationship Summary) - BD
Click below to view James Paul Gruver II'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®
NoneExperience
Current
September 11, 2023 - Present
FORESIDE FUNDS DISTRIBUTORS LLC
Office #1: 1075 Main Street Suite 320, Waltham, MA 02451BD
CRD#: 31334
Waltham, MA
Past
February 23, 2016 - May 3, 2023
HEITMAN SECURITIES LLC
BD
CRD#: 13620
CHICAGO, IL
Past
July 2, 2007 - May 30, 2013
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
BOSTON, MA
Past
October 5, 2004 - July 2, 2007
MELLON FUNDS DISTRIBUTOR, L.P.
BD
CRD#: 39414
BOSTON, MA
Past
July 25, 2003 - December 31, 2005
MBSC, LLC
BD
CRD#: 42430
NEW YORK, NY
Past
February 13, 2001 - October 4, 2001
INVESTOR FORCE SECURITIES, INC.
BD
CRD#: 104318
WAYNE, PA
Past
January 30, 1997 - May 4, 2000
DELAWARE DISTRIBUTORS, L.P.
BD
CRD#: 14232
PHILADELPHIA, PA
Past
November 15, 1994 - November 28, 1995
SEI INVESTMENTS DISTRIBUTION CO.
BD
CRD#: 10690
OAKS, PA
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
Alabama(1/2/2024)
RR
Alaska(1/5/2024)
RR
Arizona(1/2/2024)
RR
Arkansas(1/5/2024)
RR
California(1/2/2024)
RR
Colorado(1/3/2024)
RR
Connecticut(1/3/2024)
RR
Delaware(1/18/2024)
RR
District of Columbia(1/5/2024)
RR
Florida(10/31/2023)
RR
Georgia(1/4/2024)
RR
Hawaii(1/3/2024)
RR
Idaho(1/3/2024)
RR
Illinois(1/4/2024)
RR
Indiana(1/8/2024)
RR
Iowa(1/5/2024)
RR
Kansas(1/3/2024)
RR
Kentucky(1/5/2024)
RR
Louisiana(1/10/2024)
RR
Maine(1/3/2024)
RR
Maryland(1/4/2024)
RR
Massachusetts(10/30/2023)
RR
Michigan(1/4/2024)
RR
Minnesota(1/2/2024)
RR
Mississippi(1/3/2024)
RR
Missouri(1/3/2024)
RR
Montana(1/4/2024)
RR
Nebraska(1/2/2024)
RR
Nevada(1/4/2024)
RR
New Hampshire(1/8/2024)
RR
New Jersey(1/23/2024)
RR
New Mexico(1/4/2024)
RR
New York(1/2/2024)
RR
North Carolina(1/2/2024)
RR
North Dakota(1/2/2024)
RR
Ohio(1/2/2024)
RR
Oklahoma(1/2/2024)
RR
Oregon(1/2/2024)
RR
Pennsylvania(1/3/2024)
RR
Puerto Rico(1/10/2024)
RR
Rhode Island(1/3/2024)
RR
South Carolina(1/4/2024)
RR
South Dakota(1/2/2024)
RR
Tennessee(1/4/2024)
RR
Texas(1/3/2024)
RR
Utah(1/3/2024)
RR
Vermont(1/2/2024)
RR
Virgin Islands(1/4/2024)
RR
Virginia(1/3/2024)
RR
Washington(1/2/2024)
RR
West Virginia(1/10/2024)
RR
Wisconsin(1/2/2024)
RR
Wyoming(1/5/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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)
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
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#: 31334Waltham, MA 02451TRUST BUT VERIFY
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