James P. Huennekens
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 Peter Huennekens, who also goes by James P Huennekens, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 12 firms and has passed the Series 66, 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
October 10, 2023 - October 3, 2025
FORESIDE FINANCIAL SERVICES, LLC
January 8, 2019 - October 3, 2025
ARISTOTLE CAPITAL MANAGEMENT, LLC
January 2, 2019 - October 24, 2023
IMST DISTRIBUTORS, LLC
December 28, 2015 - May 17, 2018
FORESIDE FUND SERVICES, LLC
July 19, 2013 - December 31, 2015
TANGENT CAPITAL PARTNERS, LLC
October 16, 2007 - January 17, 2012
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
January 5, 2005 - September 17, 2007
U.S. BANCORP ADVISORS, LLC
January 5, 2005 - September 17, 2007
U.S. BANCORP ADVISORS, LLC
March 10, 2004 - May 11, 2004
OLD SLIP CAPITAL MANAGEMENT, INC.
April 18, 1999 - April 16, 2002
BOFA DISTRIBUTORS, INC.
February 2, 1999 - April 7, 1999
VOYA INVESTMENTS DISTRIBUTOR, LLC
February 17, 1998 - January 29, 1999
NICHOLAS-APPLEGATE SECURITIES LLC
August 7, 1997 - January 29, 1999
MORGAN STANLEY DW INC.
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 FINANCIAL SERVICES, LLC
CRD#: 148477 / SEC#: , 8-68027
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 | VICE PRESIDENT/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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