FS
Frances P. Selby
FORESIDE FUND SERVICES
Portland, ME 04101
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CRD#: 1266912
FS
Professional summary
Frances Prout Selby, who also goes by Frances P Selby, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine.
Frances is registered as a RR (Registered Representative) and started their career in finance in 1984. Frances has worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Frances P Selby
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Frances Prout Selby's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 17, 2017 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101BD
CRD#: 46106
Portland, ME
Past
October 7, 2005 - December 5, 2007
PEQUOT CAPITAL FINANCIAL SERVICES
BD
CRD#: 135548
NEW YORK, NY
Past
May 20, 1997 - April 25, 2003
SCHRODER FUND ADVISORS LLC
BD
CRD#: 24129
NEW YORK, NY
Past
June 24, 1991 - May 20, 1997
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
NASHVILLE, TN
Past
May 22, 1984 - February 4, 1991
ELAFUND, INC.
BD
CRD#: 14933
Past
May 22, 1984 - January 21, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
May 22, 1984 - January 21, 1992
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/3/2019)
RR
Alaska(1/7/2019)
RR
Arizona(2/27/2017)
RR
Arkansas(1/4/2019)
RR
California(2/24/2017)
RR
Colorado(2/27/2017)
RR
Connecticut(2/24/2017)
RR
Delaware(6/7/2017)
RR
District of Columbia(2/28/2017)
RR
Florida(2/27/2017)
RR
Georgia(3/1/2017)
RR
Hawaii(1/3/2019)
RR
Idaho(1/9/2019)
RR
Illinois(2/24/2017)
RR
Indiana(5/22/2017)
RR
Iowa(1/4/2019)
RR
Kansas(7/13/2017)
RR
Kentucky(1/9/2018)
RR
Louisiana(2/24/2017)
RR
Maine(2/27/2017)
RR
Maryland(2/27/2017)
RR
Massachusetts(2/27/2017)
RR
Michigan(3/1/2017)
RR
Minnesota(3/1/2017)
RR
Mississippi(1/3/2019)
RR
Missouri(2/27/2017)
RR
Montana(2/24/2017)
RR
Nebraska(3/8/2017)
RR
Nevada(1/9/2019)
RR
New Hampshire(5/19/2017)
RR
New Jersey(3/21/2017)
RR
New Mexico(1/3/2019)
RR
New York(2/24/2017)
RR
North Carolina(2/24/2017)
RR
North Dakota(1/4/2019)
RR
Ohio(4/25/2017)
RR
Oklahoma(4/19/2018)
RR
Oregon(2/27/2017)
RR
Pennsylvania(2/27/2017)
RR
Puerto Rico(3/23/2018)
RR
Rhode Island(2/27/2017)
RR
South Carolina(5/3/2018)
RR
South Dakota(1/14/2019)
RR
Tennessee(2/27/2017)
RR
Texas(2/28/2017)
RR
Utah(2/27/2017)
RR
Vermont(1/4/2019)
RR
Virginia(2/24/2017)
RR
Washington(2/28/2017)
RR
West Virginia(1/29/2018)
RR
Wisconsin(1/17/2019)
RR
Wyoming(2/24/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FORESIDE FUND SERVICES, LLC
FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(207) 553-7110
Established
Delaware since 09/08/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FORESIDE FUND SERVICES, LLC
CRD#: 46106Portland, ME 04101TRUST BUT VERIFY
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