Amit V. Mukadam
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.
Amit V. Mukadam, who also goes by Amit V Mukadam, Amit Vallabhdas Mukadam, Amit Mukadam, was a registered financial professional .
Amit is a previously registered financial professional and started their career in finance in 1997. Amit had worked at 10 firms and has passed the Series 63, SIE, Series 7 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
July 16, 2015 - December 19, 2023
SMEAD FUNDS DISTRIBUTORS, LLC
June 3, 2010 - June 1, 2015
FIRST DOMINION CAPITAL CORP.
October 9, 2009 - March 16, 2010
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
June 30, 2006 - February 19, 2009
MORGAN STANLEY DISTRIBUTION, INC.
March 8, 2005 - July 11, 2006
MORGAN STANLEY & CO. LLC
June 26, 2002 - October 27, 2003
LORD ABBETT DISTRIBUTOR LLC
May 31, 2000 - November 16, 2001
GOLDMAN SACHS & CO. LLC
January 10, 1999 - May 31, 2000
NEUBERGER BERMAN MANAGEMENT LLC
September 1, 1998 - December 30, 1998
CITIGROUP GLOBAL MARKETS INC.
May 19, 1997 - September 1, 1998
SALOMON BROTHERS 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
SMEAD FUNDS DISTRIBUTORS, LLC
CRD#: 173734 / SEC#: , 8-69550
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| 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 |
| TAYLOR, GORDON BURDETTE | CHIEF COMPLIANCE OFFICER AND 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.
