JS
Joseph T. Straub
FORESIDE FUND SERVICES
Boston, MA 02210
Some features on this profile are disabled
CRD#: 2518320
JS
Professional summary
Joseph Thomas Straub III, who also goes by Joseph Straub, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Boston, Massachusetts.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1994. Joseph has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Joseph Straub
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.
CRS (Client Relationship Summary) - BD
Click below to view Joseph Thomas Straub III's 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®
NoneExperience
Current
April 29, 2022 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 2 Seaport Lane, Boston, MA 02210BD
CRD#: 46106
Boston, MA
Past
July 25, 2005 - July 3, 2018
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
RADNOR, PA
Past
May 18, 2005 - June 20, 2005
AMG DISTRIBUTORS, INC.
RIA
CRD#: 27314
CONSHOHOCKEN, PA
Past
February 5, 2002 - June 20, 2005
AMG DISTRIBUTORS, INC.
BD
CRD#: 27314
STAMFORD, CT
Past
September 30, 1999 - April 8, 2005
RORER ASSET MANAGEMENT LLC
RIA
CRD#: 104575
CONSHOHOCKEN, PA
Past
September 8, 1994 - August 27, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
Alabama(6/30/2022)
RR
Alaska(7/25/2022)
RR
Arizona(7/14/2022)
RR
Arkansas(6/30/2022)
RR
California(6/29/2022)
RR
Colorado(7/1/2022)
RR
Connecticut(6/29/2022)
RR
Delaware(6/30/2022)
RR
District of Columbia(7/8/2022)
RR
Florida(6/30/2022)
RR
Georgia(7/5/2022)
RR
Hawaii(7/11/2022)
RR
Idaho(6/30/2022)
RR
Illinois(7/7/2022)
RR
Indiana(7/25/2022)
RR
Iowa(6/29/2022)
RR
Kansas(6/30/2022)
RR
Kentucky(7/1/2022)
RR
Louisiana(7/6/2022)
RR
Maine(6/30/2022)
RR
Maryland(6/30/2022)
RR
Massachusetts(6/30/2022)
RR
Michigan(7/1/2022)
RR
Minnesota(6/30/2022)
RR
Mississippi(6/30/2022)
RR
Missouri(6/29/2022)
RR
Montana(6/29/2022)
RR
Nebraska(7/1/2022)
RR
Nevada(7/12/2022)
RR
New Hampshire(6/30/2022)
RR
New Jersey(9/14/2022)
RR
New Mexico(6/30/2022)
RR
New York(8/18/2022)
RR
North Carolina(6/30/2022)
RR
North Dakota(7/5/2022)
RR
Ohio(6/29/2022)
RR
Oklahoma(7/6/2022)
RR
Oregon(7/4/2022)
RR
Pennsylvania(6/30/2022)
RR
Rhode Island(7/6/2022)
RR
South Carolina(7/6/2022)
RR
South Dakota(7/29/2022)
RR
Tennessee(6/29/2022)
RR
Texas(6/30/2022)
RR
Utah(6/29/2022)
RR
Vermont(6/30/2022)
RR
Virginia(6/30/2022)
RR
Washington(7/6/2022)
RR
West Virginia(7/28/2022)
RR
Wisconsin(6/29/2022)
RR
Wyoming(7/5/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FORESIDE FUND SERVICES, LLC
CRD#: 46106Boston, MA 02210TRUST BUT VERIFY
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