Danny C. San
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.
Danny Cong San, who also goes by Cong Lap San, Danny C San, was a registered financial professional .
Danny is a previously registered financial professional and started their career in finance in 1997. Danny had worked at 12 firms and has passed the 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
December 8, 2017 - June 21, 2023
FORESIDE FUND SERVICES, LLC
August 25, 2011 - March 3, 2017
TCW FUNDS DISTRIBUTORS LLC
March 3, 2010 - December 9, 2010
MWAM DISTRIBUTORS, LLC
July 7, 2009 - March 1, 2010
AFA FINANCIAL GROUP, LLC
December 1, 2005 - June 8, 2009
FRANKLIN DISTRIBUTORS, LLC
January 26, 2004 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
September 6, 2001 - September 27, 2002
METROPOLITAN WEST SECURITIES, LLC
June 25, 1999 - August 8, 2000
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
February 2, 1998 - April 16, 1999
WAMU INVESTMENTS, INC.
July 7, 1997 - October 7, 1997
IDS LIFE INSURANCE COMPANY
July 7, 1997 - October 7, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
March 24, 1997 - April 11, 1997
OSAIC WEALTH, 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 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
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.
