Jeffrey A. Engelsman
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.
Jeffrey Alan Engelsman, who also goes by Jeffrey Engelsman, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1995. Jeffrey had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 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 12, 2023 - September 18, 2024
FORESIDE FUND SERVICES, LLC
October 15, 2021 - October 4, 2022
B. RILEY WEALTH MANAGEMENT
June 9, 2021 - October 31, 2022
STRATOS WEALTH PARTNERS, LTD
May 24, 2021 - June 1, 2023
NEW WAY ADVISERS LLC
September 5, 2014 - January 26, 2021
TCW FUNDS DISTRIBUTORS LLC
August 9, 2007 - August 12, 2014
NYLIFE DISTRIBUTORS LLC
September 19, 2002 - July 20, 2005
DWS DISTRIBUTORS, INC.
January 13, 2001 - September 20, 2002
DEUTSCHE BANK SECURITIES INC.
July 30, 1999 - January 13, 2001
DB ALEX. BROWN LLC
May 19, 1999 - July 12, 1999
GREENWOOD INVESTMENTS, LLC
January 3, 1997 - July 16, 1999
ONE ORCHARD EQUITIES, INC.
September 3, 1996 - June 30, 1999
EMPOWER FINANCIAL SERVICES, INC.
August 23, 1995 - January 3, 1997
THE GREAT-WEST LIFE ASSURANCE COMPANY
March 20, 1995 - August 31, 1995
NEW ENGLAND SECURITIES
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 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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