Carrie P. George

FORESIDE FUND SERVICES

Lisle, IL 60532

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CRD#: 4385916

Professional summary

Carrie Peete George, who also goes by Carrie George, Carrie Peete Schaaf, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Lisle, Illinois.

Carrie is registered as a RR (Registered Representative) and started their career in finance in 2001. Carrie has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carrie George | Carrie Peete Schaaf

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carrie Peete George's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 8, 2024 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 3333 Warrenville Road Suite 350, Lisle, IL 60532

CRD#: 46106

Lisle, IL

Past

June 23, 2023 - February 7, 2024

NED DAVIS RESEARCH, INC.

RIA

CRD#: 112260

The Hills, TX

Past

August 4, 2020 - October 24, 2022

IOI CAPITAL AND MARKETS, LLC

CRD#: 290944

HOUSTON, TX

Past

July 29, 2013 - February 11, 2020

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

NEW YORK, NY

Past

June 1, 2009 - August 7, 2013

MORGAN STANLEY

RIA

CRD#: 149777

PURCHASE, NY

Past

June 1, 2009 - August 7, 2013

MORGAN STANLEY

CRD#: 149777

PURCHASE, NY

Past

April 27, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

NEW YORK, NY

Past

February 3, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 7, 2004 - May 17, 2004

RITTENHOUSE ASSET MANAGEMENT, INC.

RIA

CRD#: 106562

RADNOR, PA

Past

September 28, 2001 - December 31, 2003

RITTENHOUSE ASSET MANAGEMENT, INC.

RIA

CRD#: 106562

CHICAGO, IL

Past

May 22, 2001 - May 17, 2004

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(10/30/2024)

Oklahoma
(10/8/2024)

Texas
(10/9/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 6/25/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/21/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FORESIDE FUND SERVICES, LLC

FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC

CRD#: 46106 / SEC#: , 8-51293

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

190 Middle Street Suite 301, Portland, ME 04101

Mailing Address

190 Middle Street Suite 301, Portland, ME 04101

Phone number

(207) 553-7110

Established

Delaware since 09/08/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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

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.

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Advisor Monitoring

Firm Stability Insights

Carrie P. George

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carrie Peete George's CRS (Customer Relationship Summary).

Certified licenses

Experience

NED DAVIS RESEARCH, INC.

IOI CAPITAL AND MARKETS, LLC

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

RITTENHOUSE ASSET MANAGEMENT, INC.

RITTENHOUSE ASSET MANAGEMENT, INC.

NUVEEN SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/25/2001

SIE

Date: 10/1/2018

Series 7

Date: 5/21/2001

FINRA

Current Firm

FORESIDE FUND SERVICES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FORESIDE FUND SERVICES, LLC

TRUST BUT VERIFY

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