Nicholas R. Phillips
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.
Nicholas Richard Phillips JR, who also goes by Nicholas Richard Phillips Jr, Nick Phillips, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2002. Nicholas had worked at 11 firms and has passed the Series 63, Series 57TO, SIE, Series 7, Series 55, Series 3, Series 21 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2025 - October 7, 2025
FORESIDE FUND SERVICES, LLC
May 3, 2022 - May 24, 2023
MCAP LLC
October 12, 2017 - April 20, 2021
VAN ECK SECURITIES CORPORATION
August 24, 2017 - August 25, 2017
OLD MISSION CAPITAL, LLC
June 1, 2015 - June 6, 2017
GELBER SECURITIES, LLC
July 23, 2009 - June 1, 2012
VTRADER PRO, LLC
October 27, 2008 - July 24, 2009
GOLDMAN SACHS & CO. LLC
May 5, 2006 - March 18, 2009
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
July 15, 2004 - April 19, 2006
SUSQUEHANNA SECURITIES, LLC
January 23, 2004 - April 19, 2006
SUSQUEHANNA INVESTMENT GROUP
October 3, 2002 - July 21, 2004
SIG INDEX SPECIALISTS, 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/17/2008
Limited Representative-Equity Trader ExamSeries 21
Date: 10/21/2003
NYSE Front Line Specialist ClerkSeries 25
Date: 2/24/2003
NYSE Trading Assistant ExaminationCurrent 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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