Carol E. Rumsey
Professional summary
Carol Elaine Rumsey is a registered financial professional currently at FORESIDE FINANCIAL SERVICES, LLC located in Newport Beach, California.
Carol is registered as a RR (Registered Representative) and started their career in finance in 2021. Carol has worked at 2 firms and has passed the Series 6TO, SIE and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carol Elaine Rumsey's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 17, 2023 - Present
FORESIDE FINANCIAL SERVICES, LLC
Office #1: 840 Newport Center Drive Suite 700, Newport Beach, CA 92660June 22, 2021 - April 14, 2023
PACIFIC SELECT DISTRIBUTORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 6TO
Date: 6/19/2021
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
FORESIDE FINANCIAL SERVICES, LLC
CRD#: 148477 / SEC#: , 8-68027
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/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 |
Red Flags
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