Takashi Tsuchiya
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.
Takashi Tsuchiya was a registered financial professional .
Takashi is a previously registered financial professional and started their career in finance in 2001. Takashi had worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2019 - December 31, 2020
FORESIDE FUND SERVICES, LLC
April 12, 2011 - June 9, 2017
FORESIDE FUNDS DISTRIBUTORS LLC
January 25, 2005 - May 12, 2009
SPARX SECURITIES, USA, LLC
August 10, 2004 - January 25, 2005
DISTRIBUTION SERVICES, LLC
June 15, 2001 - February 13, 2004
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
May 1, 2001 - June 15, 2001
J.P. MORGAN SECURITIES INC.
March 8, 2001 - May 1, 2001
JPMSI
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
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