Brenda Gaidis

FORESIDE FUND SERVICES

New York, NY 10119

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CRD#: 1649238

Professional summary

Brenda Gaidis, who also goes by Brenda Rogovin, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in New York, New York.

Brenda is registered as a RR (Registered Representative) and started their career in finance in 1987. Brenda has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brenda Rogovin

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 Brenda Gaidis'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 16, 2014 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 250 West 34th Street 3rd Floor, New York, NY 10119

CRD#: 46106

New York, NY

Past

March 6, 2014 - December 31, 2014

ALPS DISTRIBUTORS, INC.

CRD#: 16853

NEW YORK, NY

Past

November 30, 2009 - September 6, 2012

WELLINGTON SHIELDS & CO., LLC

CRD#: 149021

NEW YORK, NY

Past

November 5, 2007 - December 11, 2009

SHIELDS & COMPANY

CRD#: 11053

NEW YORK, NY

Past

June 14, 1996 - November 22, 2005

SHIELDS & COMPANY

CRD#: 11053

NEW YORK, NY

Past

October 6, 1994 - May 14, 1996

DAVID J. GREENE AND COMPANY, LLC

CRD#: 2072

NEW YORK, NY

Past

November 19, 1989 - April 20, 1993

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

December 11, 1987 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

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
(1/2/2015)

Exams

State Security Law Exam

Series 63

Date: 5/8/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/25/1987

General Securities Representative 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.

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Firm Stability Insights

Brenda Gaidis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brenda Gaidis's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

WELLINGTON SHIELDS & CO., LLC

SHIELDS & COMPANY

SHIELDS & COMPANY

DAVID J. GREENE AND COMPANY, LLC

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 5/8/1987

SIE

Date: 10/1/2018

Series 7

Date: 4/25/1987

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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