Leah Swanson
Professional summary
Leah Swanson, who also goes by Leah Marie Peterson, Leah Peterson, Leah Marie Swanson, Leah M Swanson, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Broomfield, Colorado.
Leah is registered as a RR (Registered Representative) and started their career in finance in 1997. Leah has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Leah Swanson's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 21, 2026 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 1200 Entrepreneurial Drive, Broomfield, CO 80021September 9, 2025 - October 30, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 8, 2025 - October 30, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 2, 2015 - July 19, 2024
THORNBURG INVESTMENT MANAGEMENT INC
June 16, 2015 - July 19, 2024
THORNBURG SECURITIES LLC
November 3, 1997 - October 30, 2000
THORNBURG SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/21/2026)
(5/21/2026)
Exams
FINRA
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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Company Information
FORESIDE FUND SERVICES, LLC
CRD#: 46106Broomfield, CO 80021TRUST BUT VERIFY
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