Robert S. Faulkner
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.
Robert Sheffield Faulkner JR., who also goes by Robert Sheffield Faulkner, Robert Faulkner, Sheff Faulkner, Robert S Faulkner, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2004. Robert had worked at 6 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2024 - July 29, 2026
FORESIDE FUND SERVICES, LLC
January 3, 2012 - April 26, 2022
BLACKROCK INVESTMENTS, LLC
August 8, 2008 - April 26, 2022
BLACKROCK FUND ADVISORS
August 7, 2008 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
January 3, 2005 - July 10, 2008
ASCENSUS BROKER DEALER SERVICES, LLC
March 16, 2004 - December 8, 2004
EQUITABLE ADVISORS, 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.
