PL
Paul J. Leonardo
FORESIDE FUND SERVICES
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 3002437
PL
Professional summary
Paul James Leonardo is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Chicago, Illinois.
Paul is registered as a RR (Registered Representative) and started their career in finance in 1998. Paul has worked at 7 firms and has passed the Series 66, Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Paul James Leonardo's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 16, 2024 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 155 N. Wacker 35th Floor, Chicago, IL, 60606BD
CRD#: 46106
Chicago, IL
Past
April 3, 2024 - September 11, 2024
BLUEROCK CAPITAL MARKETS LLC
BD
CRD#: 136974
NEW YORK, NY
Past
April 21, 2010 - September 21, 2023
EATON VANCE MANAGEMENT
RIA
CRD#: 104859
BOSTON, MA
Past
April 12, 2010 - September 21, 2023
EATON VANCE DISTRIBUTORS, INC.
BD
CRD#: 37731
BOSTON, MA
Past
June 18, 2007 - March 19, 2010
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
May 24, 1999 - November 4, 2009
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
CHICAGO, IL
Past
February 4, 1998 - May 14, 2007
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
PROVIDENCE, RI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/22/2024)
RR
Alaska(10/22/2024)
RR
Arizona(10/22/2024)
RR
Arkansas(10/22/2024)
RR
California(10/22/2024)
RR
Colorado(10/22/2024)
RR
Connecticut(10/22/2024)
RR
Delaware(10/22/2024)
RR
District of Columbia(10/22/2024)
RR
Florida(10/22/2024)
RR
Georgia(10/22/2024)
RR
Hawaii(10/22/2024)
RR
Idaho(10/22/2024)
RR
Illinois(10/16/2024)
RR
Indiana(10/22/2024)
RR
Iowa(10/22/2024)
RR
Kansas(10/22/2024)
RR
Kentucky(10/22/2024)
RR
Louisiana(10/22/2024)
RR
Maine(10/22/2024)
RR
Maryland(10/22/2024)
RR
Massachusetts(10/22/2024)
RR
Michigan(10/22/2024)
RR
Minnesota(10/22/2024)
RR
Mississippi(10/22/2024)
RR
Missouri(10/22/2024)
RR
Montana(10/22/2024)
RR
Nebraska(10/22/2024)
RR
Nevada(10/22/2024)
RR
New Hampshire(10/22/2024)
RR
New Jersey(10/22/2024)
RR
New Mexico(10/22/2024)
RR
New York(10/22/2024)
RR
North Carolina(10/22/2024)
RR
North Dakota(10/22/2024)
RR
Ohio(10/22/2024)
RR
Oklahoma(10/22/2024)
RR
Oregon(10/22/2024)
RR
Pennsylvania(10/22/2024)
RR
Rhode Island(10/22/2024)
RR
South Carolina(10/22/2024)
RR
South Dakota(10/22/2024)
RR
Tennessee(10/22/2024)
RR
Texas(10/22/2024)
RR
Utah(10/22/2024)
RR
Vermont(10/22/2024)
RR
Virgin Islands(1/2/2025)
RR
Virginia(10/22/2024)
RR
Washington(10/22/2024)
RR
West Virginia(10/22/2024)
RR
Wisconsin(10/22/2024)
RR
Wyoming(10/22/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FORESIDE FUND SERVICES, LLC
FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(207) 553-7110
Established
Delaware since 09/08/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
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
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.
