LG
Laura A. Graff
FORESIDE FUNDS DISTRIBUTORS LLC
Boca Raton, FL 33431
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CRD#: 4819168
LG
Professional summary
Laura Ann Graff, who also goes by Laura Ann Graff, Laura Graff, Laura Schiockman, Laura Ann Schlockman, Laura Schlockman, is a registered financial professional currently at FORESIDE FUNDS DISTRIBUTORS LLC located in Boca Raton, Florida.
Laura is registered as a RR (Registered Representative) and started their career in finance in 2006. Laura has worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Laura Ann Graff | Laura Graff | Laura Schiockman | Laura Ann Schlockman | Laura Schlockman
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Laura Ann Graff's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 25, 2022 - Present
FORESIDE FUNDS DISTRIBUTORS LLC
Office #1: 1825 Nw Corporate Boulevard Suite 300, Boca Raton, FL 33431BD
CRD#: 31334
Boca Raton, FL
Past
October 13, 2021 - June 30, 2022
BLACKSTONE SECURITIES PARTNERS L.P.
BD
CRD#: 17917
NEW YORK, NY
Past
June 6, 2018 - August 13, 2021
PIMCO INVESTMENTS LLC
BD
CRD#: 154957
NEWPORT BEACH, CA
Past
March 14, 2016 - June 7, 2018
DIMENSIONAL FUND ADVISORS LP
RIA
CRD#: 106482
AUSTIN, TX
Past
March 14, 2016 - June 7, 2018
DFA SECURITIES LLC
BD
CRD#: 10292
AUSTIN, TX
Past
July 26, 2011 - January 15, 2016
PIMCO INVESTMENTS LLC
BD
CRD#: 154957
NEWPORT BEACH, CA
Past
March 2, 2011 - July 6, 2011
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
BD
CRD#: 7834
NEW YORK, NY
Past
October 20, 2006 - February 16, 2011
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/25/2022)
RR
Alaska(8/25/2022)
RR
Arizona(8/25/2022)
RR
Arkansas(8/25/2022)
RR
California(8/25/2022)
RR
Colorado(8/25/2022)
RR
Connecticut(8/25/2022)
RR
Delaware(8/25/2022)
RR
District of Columbia(8/25/2022)
RR
Florida(8/25/2022)
RR
Georgia(8/25/2022)
RR
Hawaii(8/25/2022)
RR
Idaho(8/25/2022)
RR
Illinois(8/25/2022)
RR
Indiana(8/25/2022)
RR
Iowa(8/25/2022)
RR
Kansas(8/25/2022)
RR
Kentucky(8/25/2022)
RR
Louisiana(8/25/2022)
RR
Maine(8/25/2022)
RR
Maryland(8/25/2022)
RR
Massachusetts(8/25/2022)
RR
Michigan(8/25/2022)
RR
Minnesota(8/25/2022)
RR
Mississippi(8/25/2022)
RR
Missouri(8/25/2022)
RR
Montana(8/25/2022)
RR
Nebraska(8/25/2022)
RR
Nevada(8/25/2022)
RR
New Hampshire(8/25/2022)
RR
New Jersey(8/25/2022)
RR
New Mexico(8/25/2022)
RR
New York(8/25/2022)
RR
North Carolina(8/25/2022)
RR
North Dakota(8/25/2022)
RR
Ohio(8/26/2022)
RR
Oklahoma(8/25/2022)
RR
Oregon(8/25/2022)
RR
Pennsylvania(8/25/2022)
RR
Puerto Rico(8/25/2022)
RR
Rhode Island(8/25/2022)
RR
South Carolina(8/25/2022)
RR
South Dakota(8/25/2022)
RR
Texas(8/25/2022)
RR
Utah(8/25/2022)
RR
Vermont(8/25/2022)
RR
Virgin Islands(8/25/2022)
RR
Virginia(8/25/2022)
RR
Washington(8/25/2022)
RR
West Virginia(8/25/2022)
RR
Wisconsin(8/25/2022)
RR
Wyoming(8/25/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 3/7/2022
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FORESIDE FUNDS DISTRIBUTORS LLC
440 FINANCIAL DISTRIBUTORS, INC. | PFPC DISTRIBUTORS, INC. | FORESIDE FUNDS DISTRIBUTORS LLC | FIRST DATA DISTRIBUTORS, INC. | BNY MELLON DISTRIBUTORS LLC | BNY MELLON DISTRIBUTORS INC.
CRD#: 31334 / SEC#: , 8-45467
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 01/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
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 | VP/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.
Company Information
FORESIDE FUNDS DISTRIBUTORS LLC
CRD#: 31334Boca Raton, FL 33431TRUST BUT VERIFY
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