Rudolph A. Garza
Professional summary
Rudolph Anthony Garza, who also goes by Rudolph Anthony Garza Jr, Rudy Garza, Rudolph Anthony Garza, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Los Angeles, California.
Rudolph is registered as a RR (Registered Representative) and started their career in finance in 1999. Rudolph has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Rudolph Anthony Garza's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2023 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 333 S. Grand Avenue 18th Floor, Los Angeles, CA 90071February 16, 2021 - June 29, 2023
FORESIDE FINANCIAL SERVICES, LLC
February 20, 2015 - January 19, 2021
ROYCE FUND SERVICES, LLC
February 14, 2011 - March 6, 2014
PIMCO INVESTMENTS LLC
June 3, 2010 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
December 1, 2005 - June 2, 2010
FRANKLIN DISTRIBUTORS, LLC
June 23, 2005 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
September 21, 1999 - April 1, 2004
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
FINRA
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
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