Benjamin T. Fulton

FORESIDE FUND SERVICES

Portland, ME 04101

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CRD#: 1520661

Professional summary

Benjamin Thomas Fulton, who also goes by Ben Fulton, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine.

Benjamin is registered as a RR (Registered Representative) and started their career in finance in 1986. Benjamin has worked at 19 firms and has passed the Series 66, Series 63, Series 3, SIE, Series 7, Series 24 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ben Fulton

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 Benjamin Thomas Fulton'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

December 5, 2024 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101

CRD#: 46106

Portland, ME

Past

January 3, 2023 - October 25, 2024

ALPS DISTRIBUTORS, INC.

CRD#: 16853

DENVER, CO

Past

November 30, 2022 - December 31, 2022

IMST DISTRIBUTORS, LLC

CRD#: 130745

PORTLAND, ME

Past

April 20, 2021 - February 10, 2022

OPTIMAL ASSET MANAGEMENT, INC.

RIA

CRD#: 165661

Park City, UT

Past

August 27, 2018 - December 21, 2020

PROFUNDS DISTRIBUTORS, INC.

CRD#: 19541

BETHESDA, MD

Past

May 5, 2014 - August 14, 2018

ELKHORN SECURITIES, LLC

CRD#: 168905

Chicago, IL

Past

February 21, 2014 - December 31, 2018

ELKHORN INVESTMENTS

RIA

CRD#: 168198

CHICAGO, IL

Past

August 7, 2013 - May 8, 2014

CAPE SECURITIES INC.

CRD#: 7072

MCDONOUGH, GA

Past

September 18, 2006 - May 6, 2013

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

WHEATON, IL

Past

January 28, 2004 - September 18, 2006

ALPS DISTRIBUTORS, INC.

CRD#: 16853

WHEATON, IL

Past

November 26, 2001 - October 3, 2003

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805

CHICAGO, IL

Past

June 15, 1998 - September 19, 2001

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

May 18, 1998 - June 9, 1998

NUVEEN SECURITIES, LLC

CRD#: 469

Past

April 1, 1996 - May 19, 1998

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519

WHEATON, IL

Past

January 4, 1994 - June 24, 1994

THE INVESTMENT CENTER, INC.

CRD#: 17839

BEDMINSTER, NJ

Past

June 13, 1990 - December 31, 1991

PLANNED INVESTMENTS INC.

CRD#: 5066

ATLANTA, GA

Past

January 3, 1990 - May 23, 1990

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

April 6, 1989 - December 2, 1989

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

October 30, 1987 - April 6, 1989

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

February 20, 1987 - September 8, 1987

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

June 24, 1986 - March 9, 1987

FSC SECURITIES CORPORATION

CRD#: 7461

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(1/2/2025)

Alaska
(1/2/2025)

Arizona
(1/2/2025)

Arkansas
(1/2/2025)

California
(1/2/2025)

Colorado
(1/2/2025)

Connecticut
(1/2/2025)

Delaware
(1/2/2025)

District of Columbia
(1/2/2025)

Florida
(1/2/2025)

Georgia
(1/2/2025)

Hawaii
(1/2/2025)

Idaho
(1/2/2025)

Illinois
(12/5/2024)

Indiana
(1/2/2025)

Iowa
(1/2/2025)

Kansas
(1/2/2025)

Kentucky
(1/2/2025)

Louisiana
(1/2/2025)

Maine
(1/2/2025)

Maryland
(1/2/2025)

Massachusetts
(1/2/2025)

Michigan
(1/2/2025)

Minnesota
(1/2/2025)

Mississippi
(1/2/2025)

Missouri
(1/2/2025)

Montana
(1/6/2025)

Nebraska
(1/2/2025)

Nevada
(1/2/2025)

New Hampshire
(1/2/2025)

New Jersey
(1/2/2025)

New Mexico
(1/2/2025)

New York
(1/2/2025)

North Carolina
(1/2/2025)

North Dakota
(1/2/2025)

Ohio
(1/2/2025)

Oklahoma
(1/2/2025)

Oregon
(1/2/2025)

Pennsylvania
(1/2/2025)

Rhode Island
(1/2/2025)

South Carolina
(1/2/2025)

South Dakota
(1/2/2025)

Tennessee
(1/2/2025)

Texas
(1/2/2025)

Utah
(12/5/2024)

Vermont
(1/2/2025)

Virginia
(1/2/2025)

Washington
(1/2/2025)

West Virginia
(1/2/2025)

Wisconsin
(1/2/2025)

Wyoming
(1/2/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 2/21/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/8/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 4/22/2025

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/21/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 30

Date: 6/8/1995

NFA Branch Manager Examination

SRO Registrations

FINRA

Current Firm

FORESIDE FUND SERVICES, LLC

FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC

CRD#: 46106 / SEC#: , 8-51293

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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.

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Firm Stability Insights

Benjamin T. Fulton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Benjamin Thomas Fulton's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

IMST DISTRIBUTORS, LLC

OPTIMAL ASSET MANAGEMENT, INC.

PROFUNDS DISTRIBUTORS, INC.

ELKHORN SECURITIES, LLC

ELKHORN INVESTMENTS

CAPE SECURITIES INC.

INVESCO DISTRIBUTORS, INC.

ALPS DISTRIBUTORS, INC.

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

NUVEEN SECURITIES, LLC

NUVEEN SECURITIES, LLC

FIRST TRUST PORTFOLIOS L.P.

THE INVESTMENT CENTER, INC.

PLANNED INVESTMENTS INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

J.P. MORGAN SECURITIES LLC

THOMSON MCKINNON SECURITIES INC.

CIBC WORLD MARKETS CORP.

FSC SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 2/21/2014

Series 63

Date: 4/8/1987

Series 3

Date: 4/22/2025

SIE

Date: 10/1/2018

Series 7

Date: 6/21/1986

Series 24

Date: 1/2/2023

Series 30

Date: 6/8/1995

FINRA

Current Firm

FORESIDE FUND SERVICES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FORESIDE FUND SERVICES, LLC

TRUST BUT VERIFY

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