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Michael Maddox

PERPETUAL AMERICAS FUNDS DISTRIBUTORS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 3013721
MM

Professional summary

Michael Maddox, CIMA®, CPWA® is a registered financial professional currently at PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC located in Chicago, Illinois.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1998. Michael has worked at 10 firms and has passed the Series 65, Series 66, SIE, Series 31 and Series 7 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Maddox'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®
CIMA®

Certified Investment Management Analyst

CPWA®

Certified Private Wealth Advisor

Experience

Current

July 28, 2025 - Present

PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC

Office #1: 155 N Wacker Drive Suite 4250, Chicago, IL 60606
BD
CRD#: 143809
Chicago, IL
Past

June 1, 2023 - July 1, 2025

FORESIDE FINANCIAL SERVICES, LLC

BD
CRD#: 148477
PORTLAND, ME
Past

July 11, 2018 - July 6, 2021

FS INVESTMENT SOLUTIONS, LLC

BD
CRD#: 145244
PHILADELPHIA, PA
Past

May 26, 2016 - July 5, 2018

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
Calabasas, CA
Past

May 3, 2016 - July 5, 2018

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY
Past

April 16, 2010 - May 12, 2016

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL
Past

October 22, 2009 - December 31, 2009

EVERGREEN INVESTMENT MANAGEMENT CO

RIA
CRD#: 104594
BOSTON, MA
Past

February 25, 2008 - December 31, 2009

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

BD
CRD#: 487
CHARLOTTE, NC
Past

May 18, 2006 - November 15, 2007

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
ENCINO, CA
Past

November 21, 2003 - February 18, 2005

BNY MELLON SECURITIES CORPORATION

RIA
CRD#: 231
NEW YORK, NY
Past

June 9, 2003 - February 18, 2005

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

February 6, 2001 - June 4, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
MELVILLE, NY
Past

April 9, 1998 - June 4, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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
Alaska
(7/28/2025)
RR
Arizona
(7/28/2025)
RR
California
(7/28/2025)
RR
Hawaii
(7/28/2025)
RR
Idaho
(7/28/2025)
RR
Montana
(7/28/2025)
RR
Nevada
(7/28/2025)
RR
New Mexico
(7/28/2025)
RR
Oregon
(7/28/2025)
RR
Utah
(7/28/2025)
RR
Washington
(7/28/2025)
RR
Wyoming
(7/28/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/25/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 4/30/1998
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 5/31/2016
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/7/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PA
PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC
ARDEN SECURITIES LLC | PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC | JOHCM FUNDS DISTRIBUTORS, LLC | HARDT GROUP INVESTOR SERVICES LLC | FORESIDE FUND PARTNERS LLC

CRD#: 143809 / SEC#: , 8-67608

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
New York since 01/23/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS, LLCSOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKIPRES/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145
TAYLOR, GORDON BURDETTECHIEF COMPLIANCE OFFICER/VICE PRESIDENT2990648

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.

Company Information

PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC

CRD#: 143809Chicago, IL 60606

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