Craig L. Feldman
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 Lawrence Feldman, who also goes by Craig Feldman, was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 2007. Craig had worked at 10 firms and has passed the Series 65, 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
June 18, 2024 - February 19, 2026
PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC
March 3, 2023 - April 5, 2024
NORTHERN LIGHTS DISTRIBUTORS, LLC
March 17, 2017 - March 1, 2023
ULTIMUS FUND DISTRIBUTORS, LLC
March 26, 2015 - August 11, 2016
PT ASSET MANAGEMENT, LLC
March 26, 2015 - August 11, 2016
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
October 26, 2010 - March 23, 2015
INVESCO ADVISERS, INC.
October 26, 2010 - March 23, 2015
INVESCO DISTRIBUTORS, INC.
September 24, 2010 - September 24, 2010
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
October 1, 2008 - July 12, 2010
UBS FINANCIAL SERVICES INC.
August 11, 2008 - July 12, 2010
UBS FINANCIAL SERVICES INC.
June 7, 2007 - July 25, 2008
CHASE INVESTMENT SERVICES CORP.
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
PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC
CRD#: 143809 / SEC#: , 8-67608
Contact information
FINRA licenses (53 States and Territories)
Documents
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 |
| TAYLOR, GORDON BURDETTE | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 2990648 |
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.
