Terrence C. Riordan
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.
Terrence Clinton Riordan was a registered financial professional .
Terrence is a previously registered financial professional and started their career in finance in 2008. Terrence had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2022 - February 6, 2026
FORESIDE FUND SERVICES, LLC
September 4, 2021 - April 7, 2022
VOYA INVESTMENT MANAGEMENT CO. LLC
February 23, 2016 - April 7, 2022
VOYA INVESTMENTS DISTRIBUTOR, LLC
January 2, 2014 - February 19, 2016
NEXPOINT SECURITIES, INC.
December 18, 2012 - December 31, 2013
NEXBANK SECURITIES INC
March 16, 2011 - January 2, 2013
DESTRA CAPITAL INVESTMENTS LLC
July 8, 2008 - February 14, 2011
CAPITAL CLIENT GROUP, 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
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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