Adam C. Sze
Professional summary
Adam Chun Sze is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in New York, New York.
Adam is registered as a RR (Registered Representative) and started their career in finance in 2005. Adam has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Adam Chun Sze's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 16, 2022 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 605 Third Avenue 43rd Floor, New York, NY 10158May 26, 2010 - July 19, 2021
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
May 26, 2010 - July 19, 2021
NYLIFE DISTRIBUTORS LLC
March 13, 2006 - March 26, 2009
CITIGROUP GLOBAL MARKETS INC.
November 22, 2005 - March 26, 2009
CITIGROUP GLOBAL MARKETS 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
(12/16/2022)
Exams
FINRA
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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