John H. Caron
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.
John H Caron Jr, who also goes by John Henry Caron Jr, John H Caron, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2004. John had worked at 9 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2025 - June 24, 2026
FORESIDE FUND SERVICES, LLC
February 2, 2024 - June 6, 2025
CCO CAPITAL, LLC
February 24, 2023 - February 9, 2024
COMPASS SECURITIES CORPORATION
July 16, 2019 - May 11, 2022
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
June 12, 2014 - November 9, 2018
KBS CAPITAL MARKETS GROUP LLC
April 15, 2014 - June 5, 2014
BHA SELECT NETWORK, LLC
August 21, 2012 - August 8, 2013
NEXBANK SECURITIES INC
September 29, 2009 - July 19, 2012
FORESIDE FUND SERVICES, LLC
October 8, 2004 - March 23, 2009
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
April 26, 2004 - October 4, 2004
IFMG 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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