James L. Pierson
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.
James Lawrence Pierson, who also goes by Jim Pierson, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1969. James had worked at 25 firms and has passed the Series 63, Series 6TO, SIE, Series 5, Series 1, Series 000 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2021 - August 15, 2022
PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC
June 19, 2019 - November 14, 2019
PARNASSUS FUNDS DISTRIBUTOR, LLC
December 22, 2017 - November 14, 2019
STERLING CAPITAL DISTRIBUTORS, LLC
December 22, 2017 - November 14, 2019
FORESIDE ASSOCIATES, LLC
December 21, 2017 - November 14, 2019
FORESIDE DISTRIBUTION SOLUTIONS, LLC
December 21, 2017 - November 14, 2019
ORBIS INVESTMENTS (U.S.), LLC
December 21, 2017 - November 14, 2019
IMST DISTRIBUTORS, LLC
December 21, 2017 - November 14, 2019
FUNDS DISTRIBUTOR, LLC
December 21, 2017 - November 14, 2019
FORESIDE GLOBAL SERVICES, LLC
December 21, 2017 - November 14, 2019
FORESIDE FUNDS DISTRIBUTORS LLC
December 21, 2017 - November 14, 2019
BD COMPLIANCE SOLUTIONS, LLC
December 19, 2017 - November 14, 2019
SMEAD FUNDS DISTRIBUTORS, LLC
February 28, 2017 - November 14, 2019
FORESIDE FINANCIAL SERVICES, LLC
January 30, 2017 - August 15, 2022
FORESIDE FUND SERVICES, LLC
April 2, 2009 - August 1, 2016
FORESIDE FINANCIAL SERVICES, LLC
January 16, 2001 - February 1, 2008
NATIONWIDE INVESTMENT SERVICES CORPORATION
May 10, 1999 - May 28, 2002
NATIONWIDE FUND DISTRIBUTORS LLC
November 6, 1985 - August 3, 2004
NATIONWIDE SECURITIES, LLC
November 16, 1984 - October 30, 1985
BEACON SECURITIES, INC.
March 17, 1982 - September 24, 1984
MORGAN STANLEY DW INC.
August 19, 1980 - November 7, 1983
FIFTH THIRD SECURITIES, INC.
January 31, 1980 - December 10, 1983
UBS FINANCIAL SERVICES INC.
April 8, 1976 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
December 10, 1973 - May 16, 1976
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
August 24, 1971 - March 4, 1974
VOYA FINANCIAL ADVISORS, INC.
September 9, 1969 - September 2, 1971
DAIN, KALMAN & QUAIL, INCORPORATED
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 1
Date: 8/28/1969
Registered Representative ExaminationSeries 000
Date: 8/1/1969
General Securities Principal ExaminationCurrent 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.
