TA
Tope J. Awoniyi
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS
BOSTON, MA 02114
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CRD#: 5085724
TA
Professional summary
Tope J Awoniyi is a registered financial professional currently at STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC located in Boston, Massachusetts.
Tope is registered as a RR (Registered Representative) and started their career in finance in 2006. Tope has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
1) IHSA and NILOA Lacrosse Official; NON-INVESTMENT RELATED; 3712 Forest Avenue, Brookfield, IL 60513; PRIVATE CONTRACTOR TO VARIOUS SCHOOLS FOR OFFICIATING HIGH SCHOOL AND COLLEGE LACROSSE GAMES; START DATE: 03/01/13; APPROXIMATELY 12 HOURS PER MONTH; 0 HOURS DURING SECURITIES TRADING HOURS. 2) AWONIYI, LLC - 3712 Forest Avenue, Brookfield, IL 60513. AWONIYI, LLC IS A BUSINESS TO ACQUIRE REAL ESTATE, LAND AND RETAIL PROPERTY AND THIS IS NOT INVESTMENT RELATED. AS PART OF THE LLC MY DUTIES INCLUDE REVIEWING BOOKS AND RECORDS. I HAVE BEEN ASSOCIATED WITH AWONIYI, LLC SINCE 06/2019. I ANTICIPATE SPENDING TWENTY HOURS PER MONTH ON THIS ACTIVITY AND ZERO HOURS PER MONTH DURING TRADING HOURS.
CRS (Client Relationship Summary) - BD
Click below to view Tope J Awoniyi'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
March 14, 2023 - Present
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
Office #1: One Congress Street, Boston, MA 02114BD
CRD#: 30107
BOSTON, MA
Past
February 8, 2022 - February 21, 2023
PUTNAM INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 106629
BOSTON, MA
Past
February 1, 2022 - February 21, 2023
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
Past
February 27, 2015 - January 6, 2022
CALAMOS ADVISORS LLC
RIA
CRD#: 105758
NAPERVILLE, IL
Past
February 27, 2015 - January 6, 2022
CALAMOS FINANCIAL SERVICES LLC
BD
CRD#: 19850
NAPERVILLE, IL
Past
October 27, 2014 - February 19, 2015
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
Chicago, IL
Past
May 5, 2014 - January 2, 2015
GOOD HARBOR FINANCIAL
RIA
CRD#: 127351
BARRINGTON, IL
Past
April 23, 2014 - October 28, 2014
NORTHERN LIGHTS DISTRIBUTORS, LLC
BD
CRD#: 126159
ELKHORN, NE
Past
December 12, 2012 - March 31, 2014
CALAMOS ADVISORS LLC
RIA
CRD#: 105758
NAPERVILLE, IL
Past
January 19, 2010 - December 12, 2012
CALAMOS WEALTH MANAGEMENT LLC
RIA
CRD#: 143490
NAPERVILLE, IL
Past
January 19, 2010 - March 31, 2014
CALAMOS FINANCIAL SERVICES LLC
BD
CRD#: 19850
NAPERVILLE, IL
Past
June 29, 2009 - January 8, 2010
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
PEORIA, IL
Past
June 29, 2009 - January 8, 2010
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
PEORIA, IL
Past
July 26, 2007 - June 30, 2009
B. C. ZIEGLER AND COMPANY
RIA
CRD#: 61
CHICAGO, IL
Past
June 11, 2007 - June 30, 2009
B. C. ZIEGLER AND COMPANY
BD
CRD#: 61
CHICAGO, IL
Past
February 8, 2006 - July 9, 2007
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
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(3/14/2023)
RR
Alaska(3/14/2023)
RR
Arizona(3/14/2023)
RR
Arkansas(3/14/2023)
RR
California(3/14/2023)
RR
Colorado(3/14/2023)
RR
Connecticut(3/14/2023)
RR
Delaware(3/14/2023)
RR
District of Columbia(3/14/2023)
RR
Florida(3/14/2023)
RR
Georgia(3/14/2023)
RR
Hawaii(3/14/2023)
RR
Idaho(3/14/2023)
RR
Illinois(3/14/2023)
RR
Indiana(3/14/2023)
RR
Iowa(3/14/2023)
RR
Kansas(3/14/2023)
RR
Kentucky(3/14/2023)
RR
Louisiana(3/14/2023)
RR
Maine(3/14/2023)
RR
Maryland(3/14/2023)
RR
Massachusetts(3/14/2023)
RR
Michigan(3/14/2023)
RR
Minnesota(3/14/2023)
RR
Mississippi(3/14/2023)
RR
Missouri(3/14/2023)
RR
Montana(3/14/2023)
RR
Nebraska(3/14/2023)
RR
Nevada(3/14/2023)
RR
New Hampshire(3/14/2023)
RR
New Jersey(3/14/2023)
RR
New Mexico(3/14/2023)
RR
New York(3/14/2023)
RR
North Carolina(3/14/2023)
RR
North Dakota(3/14/2023)
RR
Ohio(3/14/2023)
RR
Oklahoma(3/14/2023)
RR
Oregon(3/14/2023)
RR
Pennsylvania(3/14/2023)
RR
Puerto Rico(3/14/2023)
RR
Rhode Island(3/14/2023)
RR
South Carolina(3/14/2023)
RR
South Dakota(3/14/2023)
RR
Tennessee(3/14/2023)
RR
Texas(3/14/2023)
RR
Utah(3/14/2023)
RR
Vermont(3/14/2023)
RR
Virginia(3/14/2023)
RR
Washington(3/14/2023)
RR
West Virginia(3/14/2023)
RR
Wisconsin(3/14/2023)
RR
Wyoming(3/14/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
STATE STREET BROKERAGE SERVICES, INC. | STATE STREET GLOBAL MARKETS, LLC | STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC | STATE STREET CAPITAL MARKETS, LLC
CRD#: 30107 / SEC#: , 8-44744
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Congress Street, Boston, MA 02114
Mailing Address
One Congress Street, Boston, MA 02114
Phone number
(617) 664-3619
Established
Delaware since 03/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE STREET GLOBAL ADVISORS, INC. | PARENT CORPORATION | |
| ALBERICI, MARK F | DIRECTOR | 3223458 |
| AMOA, APEAWUSU K | DIRECTOR | 7711546 |
| BONDS MAZZA, ALLISON HATHHORN | PRESIDENT AND DIRECTOR | 4439495 |
| CORBETT, TIMOTHY PAUL | DIRECTOR | |
| FERRARELLI, JAMES | DIRECTOR | 6961735 |
| LAPORTA, JEANNE MARIE | DIRECTOR & CHAIRWOMAN | 5946908 |
| TENORIO, EDITHA V | CHIEF FINANCIAL OFFICER | 6755490 |
| TRABUCCO, MARK RUSSELL | CHIEF COMPLIANCE OFFICER | 4856280 |
| TUCKER, JOHN A | DIRECTOR | 7000761 |
Disclosures
| Regulatory Event | 17 |
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
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
CRD#: 30107Boston, MA 02114TRUST BUT VERIFY
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