Joseph B. Saunders

FORESIDE FUND SERVICES

Portland, ME 04101

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CRD#: 2203896

Professional summary

Joseph Benjamin Saunders, who also goes by Jb Saunders, Joseph Benjamin Saunders IV, Joseph Saunders, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1992. Joseph has worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jb Saunders | Joseph Benjamin Saunders Iv | Joseph Saunders

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 Joseph Benjamin Saunders'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

October 16, 2024 - Present

FORESIDE FUND SERVICES, LLC

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

CRD#: 46106

Portland, ME

Past

April 11, 2023 - May 29, 2024

ATHENE SECURITIES, LLC

CRD#: 36867

WEST DES MOINES, IA

Past

January 26, 2022 - May 28, 2024

GRIFFIN CAPITAL SECURITIES, LLC

CRD#: 37739

Phoenix, AZ

Past

November 15, 2019 - January 21, 2022

MORGAN STANLEY

RIA

CRD#: 149777

GILBERT, AZ

Past

November 14, 2019 - January 21, 2022

MORGAN STANLEY

CRD#: 149777

GILBERT, AZ

Past

July 31, 2019 - October 30, 2019

NYLIFE SECURITIES LLC

CRD#: 5167

SCOTTSDALE, AZ

Past

March 1, 2017 - May 30, 2018

EDWARD JONES

RIA

CRD#: 250

TEMPE, AZ

Past

March 1, 2017 - May 30, 2018

EDWARD JONES

CRD#: 250

TEMPE, AZ

Past

June 30, 2015 - February 28, 2017

ACCELERATED CAPITAL GROUP

CRD#: 41270

SCOTTSDALE, AZ

Past

October 19, 2009 - May 20, 2010

ASHLAY ASSET MANAGEMENT GROUP, INC.

RIA

CRD#: 147899

SCOTTSDALE, AZ

Past

February 18, 2009 - April 15, 2009

EDWARD JONES

RIA

CRD#: 250

GILBERT, AZ

Past

January 16, 2009 - April 15, 2009

EDWARD JONES

CRD#: 250

GILBERT, AZ

Past

March 23, 2005 - December 5, 2005

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

September 26, 2002 - April 15, 2003

CAPIS

CRD#: 7551

DALLAS, TX

Past

May 16, 2002 - July 18, 2002

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

January 30, 1995 - September 8, 2001

SPELMAN & CO., INC.

CRD#: 10232

PHOENIX, AZ

Past

September 22, 1994 - December 20, 1994

SPELMAN & CO., INC.

CRD#: 10232

PHOENIX, AZ

Past

June 2, 1993 - September 26, 1994

REGENCY CAPITAL GROUP, INC.

CRD#: 30764

GLENDALE, CA

Past

May 7, 1992 - May 21, 1993

FRANKLIN-LORD, INC.

CRD#: 6756

SCOTTSDALE, AZ

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

Arizona
(10/16/2024)

Connecticut
(1/16/2025)

Delaware
(1/16/2025)

Maine
(1/16/2025)

Massachusetts
(1/16/2025)

New Hampshire
(1/16/2025)

New Jersey
(1/16/2025)

New York
(1/16/2025)

Pennsylvania
(1/16/2025)

Rhode Island
(1/16/2025)

Vermont
(1/16/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 7/17/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/31/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/30/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/30/2015

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/26/1995

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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Advisor Monitoring

Firm Stability Insights

Joseph B. Saunders

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Benjamin Saunders's CRS (Customer Relationship Summary).

Certified licenses

Experience

ATHENE SECURITIES, LLC

GRIFFIN CAPITAL SECURITIES, LLC

MORGAN STANLEY

MORGAN STANLEY

NYLIFE SECURITIES LLC

EDWARD JONES

EDWARD JONES

ACCELERATED CAPITAL GROUP

ASHLAY ASSET MANAGEMENT GROUP, INC.

EDWARD JONES

EDWARD JONES

WADDELL & REED

CAPIS

GUNNALLEN FINANCIAL, INC

SPELMAN & CO., INC.

SPELMAN & CO., INC.

REGENCY CAPITAL GROUP, INC.

FRANKLIN-LORD, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/17/2015

Series 63

Date: 1/31/1992

SIE

Date: 5/30/2018

Series 7

Date: 6/30/2015

Series 24

Date: 5/26/1995

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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