Scott D. Roulston
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Scott Davies Roulston was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1990. Scott had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 14, Series 8, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2014 - February 16, 2017
FORESIDE FUND SERVICES, LLC
February 20, 2013 - October 31, 2016
MAI CAPITAL MANAGEMENT, LLC
December 4, 2007 - June 25, 2010
FAIRPORT ASSET MANAGEMENT
January 13, 2003 - November 30, 2007
FAIRPORT ASSET MANAGEMENT, LLC
September 21, 2000 - November 30, 2007
ROULSTON & CO INC
February 13, 1996 - December 6, 2005
ROULSTON RESEARCH CORP.
January 23, 1990 - June 3, 1996
ROULSTON RESEARCH CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 4/3/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
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.
