James E. Pike
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 Edward Pike, who also goes by Ed Pike, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 20 firms and has passed the Series 7 and Series 27 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2011 - December 4, 2012
PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC
April 23, 2009 - December 21, 2009
FORESIDE PLAZA DISTRIBUTORS, LLC
January 13, 2009 - December 4, 2012
NORTHERN FUNDS DISTRIBUTORS, LLC
July 17, 2008 - December 4, 2012
FORESIDE ASSOCIATES, LLC
February 14, 2008 - December 22, 2009
PROFUNDS DISTRIBUTORS, INC.
November 6, 2007 - December 4, 2012
FORESIDE FUND SERVICES, LLC
October 19, 2007 - December 17, 2007
HEARTLAND INVESTOR SERVICES, LLC
January 20, 2006 - June 14, 2006
NEW COVENANT FUNDS DISTRIBUTOR, INC.
January 20, 2006 - July 16, 2007
FTFD FUND DISTRIBUTOR, INC.
January 20, 2006 - July 16, 2007
BFD DISTRIBUTOR, INC.
January 20, 2006 - October 1, 2007
HEARTLAND INVESTOR SERVICES, LLC
January 20, 2006 - January 15, 2008
CITI DISTRIBUTION SERVICES, INC.
January 20, 2006 - February 14, 2008
PROFUNDS DISTRIBUTORS, INC.
January 20, 2006 - December 4, 2012
BD COMPLIANCE SOLUTIONS, LLC
January 20, 2006 - December 4, 2012
FUNDS DISTRIBUTOR, LLC
January 20, 2006 - December 4, 2012
FORESIDE INVESTMENT SERVICES, LLC
January 20, 2006 - December 4, 2012
IMST DISTRIBUTORS, LLC
December 13, 2005 - December 5, 2007
VICTORY CAPITAL SERVICES, INC.
December 5, 2005 - December 4, 2012
FORESIDE DISTRIBUTION SERVICES, L.P.
February 13, 2004 - November 11, 2004
USAA FINANCIAL ADVISORS, INC.
January 22, 2004 - February 13, 2004
USAA FINANCIAL ADVISORS, INC.
January 13, 1999 - November 11, 2004
USAA INVESTMENT SERVICES COMPANY
February 26, 1997 - November 13, 1998
HOAK BREEDLOVE WESNESKI & CO.
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
PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC
CRD#: 143809 / SEC#: , 8-67608
Contact information
FINRA licenses (53 States and Territories)
Documents
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 |
| TAYLOR, GORDON BURDETTE | CHIEF COMPLIANCE OFFICER/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.
