Edward T. Rumell
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.
Edward T Rumell, who also goes by Edward T Rumell, Edward Trotter Rumell, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 2003. Edward had worked at 10 firms and has passed the Series 63, SIE 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
November 3, 2020 - October 5, 2022
FORESIDE FUND SERVICES, LLC
December 6, 2018 - March 11, 2020
FORESIDE FINANCIAL SERVICES, LLC
July 26, 2017 - October 25, 2018
FORESIDE FUND SERVICES, LLC
February 3, 2017 - July 6, 2017
ALT FUND DISTRIBUTORS LLC
December 18, 2015 - February 11, 2016
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
June 14, 2013 - December 16, 2015
FORESIDE FUND SERVICES, LLC
November 20, 2012 - June 5, 2013
KELSON CAPITAL LLC
January 7, 2011 - August 29, 2012
FIRST TRUST PORTFOLIOS L.P.
May 28, 2008 - January 3, 2011
PACER FINANCIAL, INC.
October 17, 2007 - March 4, 2008
TD AMERITRADE, INC.
May 30, 2006 - October 3, 2007
PERSHING LLC
September 26, 2003 - March 7, 2006
JANNEY MONTGOMERY SCOTT 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
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
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.
