Peter L. Rausch
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.
Peter Lawrence Rausch was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2001. Peter had worked at 7 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 2014 - April 17, 2015
FORESIDE FUND SERVICES, LLC
March 4, 2014 - September 4, 2014
CHARLES JORDAN & CO., LLC
October 3, 2011 - October 24, 2012
NATIXIS SECURITIES AMERICAS LLC
September 29, 2010 - October 3, 2011
NATIXIS SECURITIES NORTH AMERICA INC.
August 19, 2008 - February 5, 2009
BNP PARIBAS PRIME BROKERAGE, INC.
April 27, 2005 - October 1, 2008
BANC OF AMERICA SECURITIES LLC
October 3, 2001 - April 28, 2005
DEUTSCHE BANK SECURITIES INC.
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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