Paul L. Givens

FORESIDE FUND SERVICES

Portland, ME 04101

Some features on this profile are disabled

CRD#: 2760859

Professional summary

Paul Lemuel Givens, CIMA®, CPWA®, who also goes by Paul Givens, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine.

Paul is registered as a RR (Registered Representative) and started their career in finance in 1996. Paul has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 6 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Paul Givens

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 Paul Lemuel Givens'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®

CIMA^®

Certified Investment Management Analyst

CPWA^®

Certified Private Wealth Advisor

Start date: 2008-04-23

Expire date: 2023-05-31

Experience

Current

February 27, 2024 - Present

FORESIDE FUND SERVICES, LLC

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

CRD#: 46106

Portland, ME

Past

January 11, 2018 - February 13, 2024

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

DALLAS, TX

Past

December 7, 2017 - February 13, 2024

NEUBERGER BERMAN BD LLC

CRD#: 2908

DALLAS, TX

Past

May 21, 2015 - December 8, 2017

TCG SECURITIES, L.L.C.

CRD#: 154788

WASHINGTON, DC

Past

May 29, 2014 - April 24, 2015

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

January 9, 2014 - July 15, 2014

TCG SECURITIES, L.L.C.

CRD#: 154788

NEW YORK, NY

Past

December 4, 2013 - December 11, 2013

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

December 13, 2012 - December 13, 2013

ASSETMARK, INC.

RIA

CRD#: 109018

CONCORD, CA

Past

December 4, 2012 - November 15, 2013

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

February 19, 2008 - November 5, 2012

STEBEN & COMPANY, LLC

CRD#: 117808

EXCELSIOR, MN

Past

October 23, 2006 - March 3, 2008

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

DENVER, CO

Past

January 17, 2003 - October 20, 2006

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

DENVER, CO

Past

September 12, 2000 - March 3, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 12, 2000 - September 13, 2000

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

October 1, 1996 - August 14, 1998

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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
(11/22/2024)

Arkansas
(3/4/2024)

Colorado
(6/14/2024)

Louisiana
(3/4/2024)

Nevada
(1/17/2025)

New Mexico
(7/3/2025)

Oklahoma
(3/4/2024)

Oregon
(5/20/2025)

Texas
(2/27/2024)

Utah
(7/30/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 1/11/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/10/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/12/2008

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/3/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/2/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 30

Date: 3/25/2008

NFA Branch Manager 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Diana London

PFS INVESTMENTS INC.

IAR

Windham, ME

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Paul L. Givens

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Paul Lemuel Givens's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

TCG SECURITIES, L.L.C.

FORESIDE FUND SERVICES, LLC

TCG SECURITIES, L.L.C.

CAPITAL BROKERAGE CORPORATION

ASSETMARK, INC.

CAPITAL BROKERAGE CORPORATION

STEBEN & COMPANY, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

VERAVEST INVESTMENTS, INC.

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/11/2018

Series 63

Date: 7/10/1996

SIE

Date: 10/1/2018

Series 3

Date: 3/12/2008

Series 7

Date: 11/3/1999

Series 6

Date: 7/2/1996

Series 30

Date: 3/25/2008

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

Similar Advisors