Ranjit S. Sufi
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.
Ranjit Singh Sufi was a registered financial professional .
Ranjit is a previously registered financial professional and started their career in finance in 1998. Ranjit had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, 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
October 10, 2023 - May 4, 2026
FORESIDE FINANCIAL SERVICES, LLC
July 7, 2015 - May 5, 2026
ARISTOTLE CAPITAL MANAGEMENT, LLC
September 15, 2014 - October 24, 2023
IMST DISTRIBUTORS, LLC
June 6, 2013 - August 12, 2014
MARTIN CURRIE INVESTOR SERVICES, INC.
December 2, 2011 - December 31, 2012
TRADEWINDS GLOBAL INVESTORS, LLC
September 1, 2011 - December 31, 2011
NUVEEN ASSET MANAGEMENT, LLC
July 31, 2008 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
May 29, 2008 - March 13, 2013
NUVEEN SECURITIES, LLC
June 8, 2000 - April 21, 2008
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC
November 19, 1999 - April 21, 2008
NICHOLAS-APPLEGATE SECURITIES LLC
January 14, 1998 - October 8, 1999
BLACKROCK EXECUTION SERVICES
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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