Peter G. Moroni
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.
Peter Gregory Moroni, who also goes by Peter Greg Moroni, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1975. Peter had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2015 - June 9, 2016
FORESIDE FUND SERVICES, LLC
March 17, 2011 - March 6, 2014
RUSSELL INVESTMENTS
February 22, 2000 - April 13, 2001
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 16, 1995 - March 6, 2014
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
March 28, 1990 - April 3, 1995
LONDON PACIFIC SECURITIES, INC.
December 17, 1986 - April 20, 1990
LEXINGTON FUNDS DISTRIBUTOR, INC.
July 20, 1984 - November 6, 1986
KIDDER, PEABODY & CO. INCORPORATED
May 1, 1982 - April 6, 1984
KIDDER, PEABODY & CO. INCORPORATED
November 30, 1981 - April 20, 1982
E. F. HUTTON & COMPANY INC
April 3, 1978 - October 20, 1981
CITIGROUP GLOBAL MARKETS INC.
September 16, 1977 - April 16, 1978
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
June 25, 1975 - February 27, 1976
BACHE & CO., 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
Series 12
Date: 5/1/1980
NYSE Branch Manager ExaminationCurrent 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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