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GF

Guy Ferrara

FORESIDE FUND SERVICES
Larkspur, CA 94939
Some features on this profile are disabled
CRD#: 2267830
GF

Professional summary

Guy Ferrara is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Larkspur, California.

Guy is registered as a RR (Registered Representative) and started their career in finance in 1993. Guy has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Guy Ferrara'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

March 5, 2025 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 700 Larkspur Landing Circle Suite 250, Larkspur, CA 94939
BD
CRD#: 46106
Larkspur, CA
Past

January 23, 2018 - July 26, 2024

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
New York, NY
Past

August 18, 2009 - February 2, 2016

UBS ASSET MANAGEMENT (AMERICAS) LLC

RIA
CRD#: 106838
NEW YORK, NY
Past

February 13, 2002 - August 13, 2009

UBS ASSET MANAGEMENT (US) INC.

RIA
CRD#: 583
WESTFIELD, NJ
Past

December 21, 2001 - February 2, 2016

UBS ASSET MANAGEMENT (US) INC.

BD
CRD#: 583
WESTFIELD, NJ
Past

February 8, 2000 - December 10, 2001

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT
Past

December 8, 1995 - February 22, 2000

PXP SECURITIES CORP.

BD
CRD#: 22898
HARTFORD, CT
Past

April 20, 1995 - October 24, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

November 3, 1994 - March 20, 1995

BARINGTON CAPITAL GROUP, L.P.

BD
CRD#: 29383
NEW YORK, NY
Past

June 29, 1994 - November 1, 1994

JWGENESIS SECURITIES, INC.

BD
CRD#: 33832
BOCA RATON, FL
Past

June 10, 1994 - July 5, 1994

PRIME CHARTER LTD.

BD
CRD#: 25668
NEW YORK, NY
Past

June 2, 1993 - June 20, 1994

REICH & CO., INC.

BD
CRD#: 19611
Past

February 16, 1993 - April 26, 1993

HIBBARD BROWN & CO., INC.

BD
CRD#: 18246
NEW YORK, NY

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
California
(3/5/2025)
RR
Colorado
(3/5/2025)
RR
Connecticut
(3/5/2025)
RR
Florida
(3/5/2025)
RR
Maine
(3/5/2025)
RR
Maryland
(3/5/2025)
RR
Massachusetts
(3/5/2025)
RR
New Hampshire
(3/5/2025)
RR
New Jersey
(3/5/2025)
RR
New York
(3/5/2025)
RR
Pennsylvania
(3/5/2025)
RR
Rhode Island
(3/5/2025)
RR
Vermont
(3/5/2025)
RR
Virginia
(3/5/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/6/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/23/1993
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: 2/10/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/15/1997
General Securities Principal 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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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#: 46106Larkspur, CA 94939

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