Stephen Gongola
Professional summary
Stephen Gongola, who also goes by Stephen Joseph Gongola Jr, Stephen Joseph Gongola, Steve Joseph Gongola, Steve Gongola, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Chicago, Illinois.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1999. Stephen has 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) - BD
Click below to view Stephen Gongola's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 26, 2024 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 200 West Madison Suite 2610, Chicago, IL 60606January 30, 2019 - November 1, 2024
AMERICAN CENTURY INVESTMENT SERVICES INC.
August 28, 2015 - November 9, 2018
KBS CAPITAL MARKETS GROUP LLC
December 2, 2011 - March 19, 2015
NORTHERN LIGHTS DISTRIBUTORS, LLC
September 10, 2010 - March 18, 2015
AFAM CAPITAL, INC.
April 12, 2010 - November 30, 2011
QUASAR DISTRIBUTORS, LLC
May 6, 2009 - September 2, 2009
TRITON PACIFIC SECURITIES, LLC
February 15, 2008 - March 13, 2009
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
December 6, 2004 - February 11, 2008
GOLDMAN SACHS & CO. LLC
October 17, 2002 - November 29, 2004
PRUCO SECURITIES, LLC.
October 11, 1999 - November 29, 2004
PRUCO SECURITIES, 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
(11/26/2024)
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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