Pete G. Egginton
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.
Pete Geoffrey Egginton, who also goes by Peter Geoffrey Egginton, Peter Egginton, Pete Egginton, was a registered financial professional .
Pete is a previously registered financial professional and started their career in finance in 1998. Pete had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2020 - May 13, 2021
FORESIDE FINANCIAL SERVICES, LLC
June 30, 2017 - May 27, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
January 23, 2015 - March 24, 2017
HARTFORD FUNDS
June 27, 2014 - December 31, 2014
HARTFORD FUNDS
July 17, 2012 - July 17, 2012
GLOBAL ATLANTIC DISTRIBUTORS, LLC
July 17, 2012 - March 24, 2017
HARTFORD FUNDS DISTRIBUTORS, LLC
April 30, 2009 - July 12, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 4, 2008 - July 12, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 11, 2001 - June 22, 2007
LOOMIS SAYLES DISTRIBUTORS, L.P.
November 20, 1998 - June 1, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 FINANCIAL SERVICES, LLC
CRD#: 148477 / SEC#: , 8-68027
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1137783 |
| 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 |
Red Flags
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