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JW

James A. Warfield

FORESIDE FUND SERVICES
Portland, ME 04101
Some features on this profile are disabled
CRD#: 1924965
JW
James Anthony WarfieldFORESIDE FUND SERVICES

Professional summary

James Anthony Warfield, who also goes by James Anthony Warfield, Jim Warfield, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine.

James is registered as a RR (Registered Representative) and started their career in finance in 1994. James has worked at 19 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Aliases

James Anthony Warfield | Jim Warfield

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 James Anthony Warfield'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

July 23, 2026 - Present

FORESIDE FUND SERVICES, LLC

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

September 29, 2025 - July 6, 2026

BEACON CAPITAL MANAGEMENT, INC.

RIA
CRD#: 120641
CHARLOTTE, NC
Past

September 29, 2025 - July 6, 2026

SAMMONS FINANCIAL NETWORK, LLC

BD
CRD#: 158538
WEST DES MOINES, IA
Past

May 4, 2023 - April 4, 2025

ADVISORS ASSET MANAGEMENT, INC.

RIA
CRD#: 46727
Charlotte, NC
Past

March 13, 2023 - April 4, 2025

ADVISORS ASSET MANAGEMENT, INC.

BD
CRD#: 46727
MONUMENT, CO
Past

August 12, 2021 - March 3, 2023

PACER FINANCIAL, INC.

BD
CRD#: 137040
MALVERN, PA
Past

March 19, 2018 - July 28, 2021

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
JERSEY CITY, NJ
Past

May 23, 2017 - December 5, 2017

ICON ADVISERS, INC.

RIA
CRD#: 108268
Matthews, NC
Past

May 10, 2017 - December 5, 2017

ICON DISTRIBUTORS, INC.

BD
CRD#: 28568
GREENWOOD VILLAGE, CO
Past

August 3, 2016 - March 1, 2017

VICTORY CAPITAL SERVICES, INC.

BD
CRD#: 37059
BROOKLYN, OH
Past

May 8, 2015 - August 22, 2016

RS FUNDS DISTRIBUTOR LLC

BD
CRD#: 165753
VILLANOVA, PA
Past

September 2, 2014 - May 15, 2015

VIRTUS INVESTMENT ADVISERS, LLC

RIA
CRD#: 106982
CHARLOTTE, NC
Past

January 3, 2012 - May 15, 2015

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT
Past

August 1, 2011 - December 8, 2011

G.DISTRIBUTORS, LLC

BD
CRD#: 155071
RYE, NY
Past

October 28, 2010 - August 26, 2011

G.RESEARCH, LLC

BD
CRD#: 7353
RYE, NY
Past

May 5, 2010 - October 25, 2010

PALMETTO ADVISORY GROUP, LLC

BD
CRD#: 150270
CHARLESTON, SC
Past

January 25, 2002 - December 31, 2009

UBS ASSET MANAGEMENT (US) INC.

BD
CRD#: 583
CHARLOTTE, NC
Past

March 29, 2000 - January 29, 2002

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

August 3, 1999 - February 24, 2000

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
BOSTON, MA
Past

October 19, 1994 - August 19, 1999

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA

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
Delaware
(7/23/2026)
RR
District of Columbia
(7/23/2026)
RR
Maryland
(7/23/2026)
RR
North Carolina
(7/23/2026)
RR
South Carolina
(7/23/2026)
RR
Virginia
(7/23/2026)
RR
West Virginia
(7/23/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/1/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/4/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/18/1994
General Securities Representative 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)

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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