Lynn M. Pearson
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.
Lynn Maria Pearson, who also goes by Lynn Maria Pearson, Lynn Pearson, was a registered financial professional .
Lynn is a previously registered financial professional and started their career in finance in 1998. Lynn had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2022 - October 4, 2023
FORESIDE FUND SERVICES, LLC
October 2, 2019 - September 7, 2022
GUARDIAN ROCK WEALTH INVESTMENT MANAGEMENT, INC.
May 20, 2015 - August 26, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 24, 2012 - July 19, 2013
EDWARD JONES
May 14, 2009 - October 11, 2010
MATRIX CAPITAL GROUP, INC.
June 9, 2005 - September 25, 2008
VAN KAMPEN ADVISORS INC
September 17, 1999 - September 25, 2008
INVESCO CAPITAL MARKETS, INC.
October 13, 1998 - December 9, 1998
OLD SLIP CAPITAL MANAGEMENT, INC.
March 19, 1998 - August 3, 1998
DWS DISTRIBUTORS, 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
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