Richard A. Parenteau
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.
Richard Alexander Parenteau, who also goes by Rich Parenteau, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1994. Richard had worked at 20 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2017 - February 6, 2019
SMEAD FUNDS DISTRIBUTORS, LLC
May 24, 2012 - February 6, 2019
STERLING CAPITAL DISTRIBUTORS, LLC
May 24, 2012 - February 6, 2019
NORTHERN FUNDS DISTRIBUTORS, LLC
May 24, 2012 - February 6, 2019
MGI FUNDS DISTRIBUTORS, LLC
May 24, 2012 - February 6, 2019
BD COMPLIANCE SOLUTIONS, LLC
May 24, 2012 - February 6, 2019
IMST DISTRIBUTORS, LLC
May 24, 2012 - February 6, 2019
FUNDS DISTRIBUTOR, LLC
May 24, 2012 - February 6, 2019
FORESIDE INVESTMENT SERVICES, LLC
May 24, 2012 - February 6, 2019
FORESIDE GLOBAL SERVICES, LLC
May 24, 2012 - February 6, 2019
PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC
May 24, 2012 - February 6, 2019
FORESIDE DISTRIBUTION SERVICES, L.P.
May 24, 2012 - February 6, 2019
FORESIDE ASSOCIATES, LLC
May 24, 2012 - February 6, 2019
FAIRHOLME DISTRIBUTORS, LLC
May 16, 2012 - February 6, 2019
FORESIDE FUNDS DISTRIBUTORS LLC
October 28, 2011 - November 21, 2011
PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC
April 22, 2009 - July 16, 2009
FORESIDE PLAZA DISTRIBUTORS, LLC
January 8, 2008 - February 6, 2019
FORESIDE FUND SERVICES, LLC
June 7, 2007 - December 19, 2007
CITIGROUP GLOBAL MARKETS INC.
March 30, 2000 - June 8, 2007
FORESIDE FUND SERVICES, LLC
November 14, 1996 - March 30, 2000
ARK FUNDS DISTRIBUTORS, LLC
October 31, 1994 - June 23, 1995
IDS LIFE INSURANCE COMPANY
October 31, 1994 - June 23, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
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
SMEAD FUNDS DISTRIBUTORS, LLC
CRD#: 173734 / SEC#: , 8-69550
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| 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 |
| TAYLOR, GORDON BURDETTE | CHIEF COMPLIANCE OFFICER AND VICE PRESIDENT | 2990648 |
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.
