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DS

Dimitrios N. Stathopoulos

FORESIDE FUND SERVICES
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2755325
DS

Professional summary

Dimitrios N Stathopoulos, who also goes by Stathopoulos, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Chicago, Illinois.

Dimitrios is registered as a RR (Registered Representative) and started their career in finance in 1996. Dimitrios has worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stathopoulos

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 Dimitrios N Stathopoulos'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

January 7, 2026 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 155 N. Wacker 35th Floor, Chicago, IL, 60606
BD
CRD#: 46106
Chicago, IL
Past

January 9, 2018 - July 10, 2025

NUVEEN ASSET MANAGEMENT, LLC

RIA
CRD#: 155584
Chicago, IL
Past

January 9, 2018 - July 10, 2025

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL
Past

April 21, 2014 - December 12, 2017

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
CHICAGO, IL
Past

April 21, 2014 - December 12, 2017

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
CHICAGO, IL
Past

March 28, 2013 - April 21, 2014

NUVEEN ASSET MANAGEMENT, LLC

RIA
CRD#: 155584
CHICAGO, IL
Past

December 5, 2011 - March 28, 2013

TRADEWINDS GLOBAL INVESTORS, LLC

RIA
CRD#: 138476
LOS ANGELES, CA
Past

September 1, 2011 - December 31, 2011

NUVEEN ASSET MANAGEMENT, LLC

RIA
CRD#: 155584
CHICAGO, IL
Past

February 27, 2010 - September 1, 2011

NUVEEN FUND ADVISORS, LLC

RIA
CRD#: 104626
CHICAGO, IL
Past

January 24, 2008 - April 21, 2014

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL
Past

July 30, 1998 - April 17, 2001

FUNDS DISTRIBUTOR, LLC

BD
CRD#: 7174
PORTLAND, ME
Past

January 9, 1997 - May 5, 1998

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

July 19, 1996 - December 20, 1996

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, 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
(1/7/2026)
RR
Alaska
(1/7/2026)
RR
Arizona
(1/7/2026)
RR
Arkansas
(1/7/2026)
RR
California
(1/7/2026)
RR
Colorado
(1/7/2026)
RR
Connecticut
(1/7/2026)
RR
Delaware
(1/7/2026)
RR
District of Columbia
(1/7/2026)
RR
Florida
(1/7/2026)
RR
Georgia
(1/7/2026)
RR
Hawaii
(1/7/2026)
RR
Idaho
(1/7/2026)
RR
Illinois
(1/7/2026)
RR
Indiana
(1/7/2026)
RR
Iowa
(1/7/2026)
RR
Kansas
(1/7/2026)
RR
Kentucky
(1/7/2026)
RR
Louisiana
(1/7/2026)
RR
Maine
(1/7/2026)
RR
Maryland
(1/7/2026)
RR
Massachusetts
(1/7/2026)
RR
Michigan
(1/7/2026)
RR
Minnesota
(1/7/2026)
RR
Mississippi
(1/7/2026)
RR
Missouri
(1/7/2026)
RR
Montana
(1/7/2026)
RR
Nebraska
(1/7/2026)
RR
Nevada
(1/7/2026)
RR
New Hampshire
(1/7/2026)
RR
New Jersey
(1/7/2026)
RR
New Mexico
(1/7/2026)
RR
New York
(1/7/2026)
RR
North Carolina
(1/7/2026)
RR
North Dakota
(1/7/2026)
RR
Ohio
(1/7/2026)
RR
Oklahoma
(1/7/2026)
RR
Oregon
(1/7/2026)
RR
Pennsylvania
(1/7/2026)
RR
Rhode Island
(1/7/2026)
RR
South Carolina
(1/7/2026)
RR
South Dakota
(1/7/2026)
RR
Tennessee
(1/7/2026)
RR
Texas
(1/7/2026)
RR
Utah
(1/7/2026)
RR
Vermont
(1/7/2026)
RR
Virginia
(1/7/2026)
RR
Washington
(1/7/2026)
RR
West Virginia
(1/7/2026)
RR
Wisconsin
(1/7/2026)
RR
Wyoming
(1/7/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/5/2008
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 8/8/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/25/1996
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 31
Date: 8/18/2014
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 1/23/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/24/2013
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#: 46106Chicago, IL 60606

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