Andrew Wedderburn-maxwell
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.
Andrew Wedderburn-maxwell, who also goes by Andrew Franklyn Wedderburn-maxwell, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2007. Andrew had worked at 9 firms and has passed the Series 63, Series 82TO, Series 22TO, Series 6TO, Series 99TO, Series 52TO, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2023 - November 27, 2024
FORESIDE FUND SERVICES, LLC
August 13, 2021 - August 9, 2023
WELLS FARGO SECURITIES, LLC
July 3, 2018 - June 9, 2021
MUFG SECURITIES AMERICAS INC.
October 19, 2017 - July 11, 2018
RABO SECURITIES USA, INC.
November 8, 2016 - October 25, 2017
BEECH HILL SECURITIES, INC.
June 16, 2011 - July 28, 2016
CITIGROUP GLOBAL MARKETS INC.
October 7, 2009 - April 28, 2011
UBS SECURITIES LLC
September 22, 2008 - December 10, 2008
BARCLAYS CAPITAL INC.
September 12, 2007 - September 22, 2008
LEHMAN BROTHERS 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
Exams
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative 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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