Craig R. Horan
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.
Craig Robert Horan was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1998. Craig had worked at 12 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2015 - April 2, 2015
FORESIDE FUND SERVICES, LLC
February 25, 2015 - April 2, 2015
CEDAR CAPITAL, LLC
May 22, 2014 - January 2, 2015
GOOD HARBOR FINANCIAL
July 26, 2012 - February 27, 2013
IPI WEALTH MANAGEMENT, INC.
July 26, 2012 - November 7, 2014
INVESTMENT PLANNERS, INC.
April 30, 2011 - February 1, 2012
NUVEEN ASSET MANAGEMENT, LLC
April 29, 2011 - February 1, 2012
NUVEEN SECURITIES, LLC
March 10, 2009 - March 14, 2011
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
January 2, 2009 - March 14, 2011
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
March 5, 2008 - January 2, 2009
RIVERSOURCE DISTRIBUTORS, INC.
December 21, 2005 - March 14, 2008
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
July 7, 1998 - December 15, 2005
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
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 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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