Kevin J. Rich

FORESIDE FUND SERVICES

Portland, ME 04101

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CRD#: 1600833

Professional summary

Kevin Jay Rich is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 1994. Kevin has worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin Jay Rich'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 4, 2024 - Present

FORESIDE FUND SERVICES, LLC

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

CRD#: 46106

Portland, ME

Past

September 8, 2022 - December 31, 2022

SOCIAL INVSTR

CRD#: 309923

San Antonio, TX

Past

December 7, 2018 - January 30, 2019

FORESIDE FUND SERVICES, LLC

CRD#: 46106

New York, NY

Past

August 12, 2009 - December 31, 2016

ALPS DISTRIBUTORS, INC.

CRD#: 16853

NEW YORK, NY

Past

October 4, 2004 - June 23, 2009

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

November 18, 2002 - June 5, 2003

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805

CHICAGO, IL

Past

May 31, 1994 - July 15, 2002

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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

New York
(12/4/2024)

Exams

State Security Law Exam

IAR

Series 65

Date: 9/4/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/13/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 9/4/2025

National Commodity Futures Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/18/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal 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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Kevin J. Rich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin Jay Rich's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOCIAL INVSTR

FORESIDE FUND SERVICES, LLC

ALPS DISTRIBUTORS, INC.

DEUTSCHE BANK SECURITIES INC.

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/4/2020

Series 63

Date: 6/13/1994

Series 3

Date: 9/4/2025

Series 7TO

Date: 1/2/2023

SIE

Date: 12/31/2016

Series 7

Date: 5/18/1994

Series 24

Date: 1/2/2023

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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