Alison W. Davis-rodriguez
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.
Alison Wendy Davis-rodriguez, who also goes by Alison Wendy Davis, Alison Davis-rodriguez, Alison Rodriguez, was a registered financial professional .
Alison is a previously registered financial professional and started their career in finance in 1981. Alison had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2019 - May 31, 2022
FORESIDE FUND SERVICES, LLC
June 1, 2007 - April 17, 2019
W. H. REAVES & CO., INC.
July 19, 2005 - August 16, 2006
MACQUARIE CAPITAL (USA) INC.
March 11, 2005 - June 15, 2005
MACQUARIE CAPITAL (USA) INC.
June 14, 2000 - April 7, 2004
LADENBURG THALMANN & CO. INC.
October 18, 1988 - October 29, 1999
PRUDENTIAL EQUITY GROUP, LLC
April 1, 1987 - August 11, 1987
BALIS & ZORN INC.
March 23, 1982 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
March 18, 1982 - May 5, 1986
LEHMAN BROTHERS INC.
March 23, 1981 - October 30, 1981
KUHNS BROTHERS & LAIDLAW, 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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