Rick Anthony Dibernardo
Professional Summary
Rick Anthony Dibernardo, who also goes by Rick A Dibernardo, Rick Dibernardo, is a registered financial advisor currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine. Rick is registered as a RR (Registered Representative) and started their career in finance in 1992. Rick has worked at 17 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rick A Dibernardo, Rick Dibernardo
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PFS INVESTMENTS INC.
Videos & Posts
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PFS INVESTMENTS INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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PFS INVESTMENTS INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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PFS INVESTMENTS INC.
Years of Experience
34 years registered in the securities industry
Current & Past Employments
Current
Past
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PFS INVESTMENTS INC.
Current Firm
FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC
Contact Information
Main Address
190 Middle Street Suite 301, Portland, ME 04101Mailing Address
190 Middle Street Suite 301, Portland, ME 04101Phone Number
(207) 553-7110Established
Delaware since 09/08/1998Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
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PFS INVESTMENTS INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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PFS INVESTMENTS INC.
State Registrations and Notice Filings
(9/18/2026)
(9/22/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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PFS INVESTMENTS INC.
CRS (Client Relationship Summary) - BD
Click below to view Rick Anthony Dibernardo's CRS (Customer Relationship Summary).
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PFS INVESTMENTS INC.