Richard B. Carr
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.
Richard B Carr was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2006. Richard had worked at 13 firms and has passed the Series 66, 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
January 2, 2025 - September 19, 2025
FORESIDE FUND SERVICES, LLC
August 7, 2024 - November 15, 2024
PARALEL DISTRIBUTORS
January 20, 2023 - January 22, 2024
FLEXIBLE PLAN INVESTMENTS LTD
September 26, 2022 - January 19, 2024
CEROS FINANCIAL SERVICES, INC.
August 12, 2021 - April 8, 2022
IMST DISTRIBUTORS, LLC
March 13, 2019 - June 30, 2021
PROFUNDS DISTRIBUTORS, INC.
August 12, 2013 - December 26, 2018
LBMZ SECURITIES, INC.
August 7, 2013 - April 30, 2019
ZACKS INVESTMENT MANAGEMENT, INC.
July 17, 2013 - August 5, 2013
KEELEY INVESTMENT CORP.
October 19, 2010 - June 11, 2013
DWS DISTRIBUTORS, INC.
June 22, 2009 - September 16, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 17, 2009 - September 16, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 30, 2006 - February 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 29, 2006 - February 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
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