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LN

Leesa J. Nichols

FORESIDE FUND SERVICES
Portland, ME 04101
Some features on this profile are disabled
CRD#: 1562283
LN

Professional summary

Leesa Jane Nichols is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine.

Leesa is registered as a RR (Registered Representative) and started their career in finance in 1987. Leesa has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 6, Series 22 and Series 30 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
Hodges Capital Management-investment related-started June 2019-search for prospective clients for Hodges Fund-employee.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Leesa Jane Nichols'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

January 15, 2025 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 46106
Portland, ME
Past

January 24, 2023 - September 11, 2024

HODGES CAPITAL MANAGEMENT INC

RIA
CRD#: 110080
SAUSALITO, CA
Past

August 9, 2019 - September 11, 2024

FIRST DALLAS SECURITIES INCORPORATED

BD
CRD#: 24549
DALLAS, TX
Past

October 14, 2016 - April 11, 2018

ATEL SECURITIES CORPORATION

BD
CRD#: 17229
San Francisco, CA
Past

November 11, 2003 - October 3, 2016

STEBEN & COMPANY, LLC

BD
CRD#: 117808
EXCELSIOR, MN
Past

August 28, 2000 - November 13, 2003

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
JERSEY CITY, NJ
Past

July 19, 1990 - August 16, 2000

ATEL SECURITIES CORPORATION

BD
CRD#: 17229
SAN FRANCISCO, CA
Past

January 1, 1990 - March 14, 1990

STANFORD SECURITIES INCORPORATED

BD
CRD#: 14940
PALM DESERT, CA
Past

March 4, 1987 - March 20, 1989

CIS INVESTMENT CORPORATION

BD
CRD#: 16503

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
Alaska
(1/16/2025)
RR
California
(1/15/2025)
RR
Idaho
(1/16/2025)
RR
Montana
(1/16/2025)
RR
Nevada
(1/15/2025)
RR
Oregon
(1/22/2025)
RR
Washington
(1/15/2025)
RR
Wyoming
(1/17/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/21/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/22/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/11/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/13/2003
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 6
Date: 7/31/2000
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 4/21/1986
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 30
Date: 7/23/2004
NFA Branch Manager 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)
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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)

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#: 46106Portland, ME 04101

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