Leslie A. Schroeder
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.
Leslie Ann Schroeder, who also goes by Leslie Ann Hudson, Leslie Hudson Jaras, Leslie Ann Schroder, Leslie Schroeder, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 2002. Leslie had worked at 8 firms and has passed the Series 66, 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
January 18, 2022 - April 21, 2026
FORESIDE FINANCIAL SERVICES, LLC
May 30, 2017 - November 10, 2021
JANUS HENDERSON DISTRIBUTORS US LLC
December 2, 2004 - June 1, 2017
FORESIDE FUND SERVICES, LLC
November 11, 2004 - May 31, 2017
JANUS HENDERSON INVESTORS
February 7, 2003 - October 27, 2004
AMG DISTRIBUTORS, INC.
February 4, 2003 - October 27, 2004
BURRIDGE GROUP LLC
October 21, 2002 - February 12, 2003
RITTENHOUSE ASSET MANAGEMENT, INC.
August 20, 2002 - February 12, 2003
NUVEEN 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
Exams
Current Firm
FORESIDE FINANCIAL SERVICES, LLC
CRD#: 148477 / SEC#: , 8-68027
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/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 |
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.
