Alejandro Moreno
Professional summary
Alejandro Moreno is a registered financial professional currently at FORESIDE FINANCIAL SERVICES, LLC located in Miami, Florida.
Alejandro is registered as a RR (Registered Representative) and started their career in finance in 1996. Alejandro has worked at 6 firms and has passed the Series 65, Series 63, Series 6TO, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alejandro Moreno's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 6, 2024 - Present
FORESIDE FINANCIAL SERVICES, LLC
Office #1: 1001 Brickell Bay Dr, Suite 2736, Miami, FL 33101June 22, 2022 - December 31, 2023
GAM SERVICES, INC.
September 2, 2020 - June 6, 2022
FORESIDE FINANCIAL SERVICES, LLC
November 20, 2017 - August 31, 2018
ERG SECURITIES (US) LLC
April 4, 2008 - December 7, 2015
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
February 13, 2008 - March 3, 2008
PUTNAM INVESTMENT MANAGEMENT, LLC
June 9, 2006 - February 8, 2008
PUTNAM INVESTMENT MANAGEMENT, LLC
October 4, 1996 - March 3, 2008
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/6/2024)
(2/6/2024)
(2/6/2024)
(1/2/2025)
(2/6/2024)
(2/6/2024)
(2/6/2024)
(2/6/2024)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationFINRA
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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Company Information
FORESIDE FINANCIAL SERVICES, LLC
CRD#: 148477Miami, FL 33101TRUST BUT VERIFY
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