James F. Duryea
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.
James Frank Duryea, who also goes by James Frank Duryea II, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 8 firms and has passed the Series 66, Series 63, 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
October 29, 2018 - December 31, 2018
FORESIDE FINANCIAL SERVICES, LLC
August 5, 2016 - January 4, 2019
LWI FINANCIAL INC.
November 20, 2015 - October 29, 2018
LORING WARD SECURITIES INC.
October 13, 2011 - November 25, 2013
DUNHAM
May 20, 1991 - July 15, 2004
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
April 15, 1982 - January 30, 1985
AMERICAN FRONTEER FINANCIAL CORPORATION
February 21, 1982 - April 12, 1982
MORRIS BRIDGER SECURITIES, INC
July 24, 1981 - February 3, 1982
BLINDER, ROBINSON & CO., 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 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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