Stanley P. Kapica
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.
Stanley P Kapica, who also goes by Stanley Peter Kapica Jr, Stanley P Kapica Jr Jr, Stanley P Kapica Jr. Jr, was a registered financial professional .
Stanley is a previously registered financial professional and started their career in finance in 1976. Stanley had worked at 12 firms and has passed the Series 65, Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2010 - June 1, 2012
FORESIDE FUND SERVICES, LLC
September 7, 2006 - July 17, 2007
AIM PRIVATE ASSET MANAGEMENT
July 31, 2006 - July 17, 2007
INVESCO DISTRIBUTORS, INC.
May 10, 1993 - July 28, 2006
MORGAN STANLEY DW INC.
October 30, 1989 - March 3, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 30, 1989 - March 3, 1993
SIGNATOR INVESTORS, INC.
February 19, 1987 - May 8, 1989
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
July 24, 1984 - December 10, 1986
JMB SECURITIES CORPORATION
August 2, 1982 - May 31, 1983
THE GREAT-WEST LIFE ASSURANCE COMPANY
December 11, 1980 - October 28, 1985
METLIFE INVESTORS DISTRIBUTION COMPANY
January 17, 1979 - January 8, 1981
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 1, 1976 - September 4, 1978
SUN LIFE FINANCIAL DISTRIBUTORS, 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
Series 1
Date: 11/24/1976
Registered Representative 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
