AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
EC

Elizabeth A. Carey

FORESIDE FUND SERVICES
New York, NY 10020
Some features on this profile are disabled
CRD#: 1441091
EC

Professional summary

Elizabeth Ann Carey, who also goes by Elizabeth A Clapp, Elizabeth Ann Clapp, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in New York, New York.

Elizabeth is registered as a RR (Registered Representative) and started their career in finance in 1986. Elizabeth has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 26 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Elizabeth A Clapp | Elizabeth Ann Clapp

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Elizabeth Ann Carey's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 8, 2024 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 1270 Avenue Of The Americas, Suite 2602, New York, NY 10020
BD
CRD#: 46106
New York, NY
Past

April 5, 2022 - November 2, 2023

LOCORR DISTRIBUTORS, LLC

BD
CRD#: 41782
EXCELSIOR, MN
Past

August 7, 2008 - April 5, 2022

FRED ALGER & COMPANY, LLC

BD
CRD#: 5300
NEW YORK, NY
Past

December 3, 2007 - July 23, 2008

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

BD
CRD#: 487
BOSTON, MA
Past

August 21, 2002 - November 30, 2007

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
NEW YORK, NY
Past

March 1, 1995 - March 27, 2002

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
BOSTON, MA
Past

February 2, 1990 - March 1, 1995

COLONIAL INVESTMENT SERVICES

BD
CRD#: 25929
Past

November 4, 1986 - February 2, 1990

COLONIAL INVESTMENT SERVICES, INC.

BD
CRD#: 167

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
(7/2/2024)
RR
Alaska
(7/2/2024)
RR
Arizona
(7/2/2024)
RR
Arkansas
(7/2/2024)
RR
California
(7/2/2024)
RR
Colorado
(7/2/2024)
RR
Connecticut
(7/2/2024)
RR
Delaware
(7/2/2024)
RR
District of Columbia
(7/2/2024)
RR
Florida
(7/2/2024)
RR
Georgia
(7/2/2024)
RR
Hawaii
(7/2/2024)
RR
Idaho
(7/2/2024)
RR
Illinois
(7/2/2024)
RR
Indiana
(7/2/2024)
RR
Iowa
(7/2/2024)
RR
Kansas
(7/2/2024)
RR
Kentucky
(7/2/2024)
RR
Louisiana
(7/2/2024)
RR
Maine
(7/2/2024)
RR
Maryland
(7/2/2024)
RR
Massachusetts
(5/8/2024)
RR
Michigan
(7/2/2024)
RR
Minnesota
(7/2/2024)
RR
Mississippi
(7/2/2024)
RR
Missouri
(7/2/2024)
RR
Montana
(7/3/2024)
RR
Nebraska
(7/2/2024)
RR
Nevada
(7/2/2024)
RR
New Hampshire
(7/2/2024)
RR
New Jersey
(7/2/2024)
RR
New Mexico
(7/2/2024)
RR
New York
(5/8/2024)
RR
North Carolina
(7/2/2024)
RR
North Dakota
(7/2/2024)
RR
Ohio
(7/2/2024)
RR
Oklahoma
(7/2/2024)
RR
Oregon
(7/2/2024)
RR
Pennsylvania
(7/2/2024)
RR
Puerto Rico
(7/2/2024)
RR
Rhode Island
(7/2/2024)
RR
South Carolina
(7/2/2024)
RR
South Dakota
(7/2/2024)
RR
Tennessee
(7/2/2024)
RR
Texas
(7/2/2024)
RR
Utah
(7/2/2024)
RR
Vermont
(7/2/2024)
RR
Virgin Islands
(7/2/2024)
RR
Virginia
(7/2/2024)
RR
Washington
(7/2/2024)
RR
West Virginia
(7/2/2024)
RR
Wisconsin
(7/2/2024)
RR
Wyoming
(7/2/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 11/17/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/23/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/31/1986
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 5/8/2024
Investment Company Products/Variable Contracts Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/20/2003
General Securities Principal Examination
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS, LLCSOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKIPRES/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145
STROUT, ALICIA KIMBERLYCHIEF COMPLIANCE OFFICER/VICE PRESIDENT6320351

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.

Company Information

FORESIDE FUND SERVICES, LLC

CRD#: 46106New York, NY 10020

TRUST BUT VERIFY

Monitor Elizabeth Carey

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.