Stephen J. Joslin

FORESIDE FUND SERVICES

Portland, ME 04101

Some features on this profile are disabled

CRD#: 2774976

Professional summary

Stephen John Joslin, CIMA®, who also goes by Steve Joslin, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2000. Stephen has worked at 6 firms and has passed the Series 66, Series 65, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Steve Joslin

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 Stephen John Joslin'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

Experience

Current

October 6, 2022 - Present

FORESIDE FUND SERVICES, LLC

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

CRD#: 46106

Portland, ME

Past

December 17, 2013 - May 4, 2022

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

WEST PALM BEACH, FL

Past

February 13, 2012 - May 4, 2022

NEUBERGER BERMAN BD LLC

CRD#: 2908

WEST PALM BEACH, FL

Past

January 17, 2008 - February 13, 2012

COHEN & STEERS SECURITIES, LLC

CRD#: 29258

NEW YORK, NY

Past

April 28, 2005 - January 11, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PALM BEACH, FL

Past

April 7, 2005 - January 11, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PALM BEACH, FL

Past

September 25, 2001 - April 7, 2005

MERRILL LYNCH INVESTMENT MANAGERS LP

RIA

CRD#: 105068

PALM BEACH, FL

Past

June 27, 2000 - April 7, 2005

FAM DISTRIBUTORS, INC.

CRD#: 4100

NEW YORK, NY

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

Alabama
(1/14/2023)

Florida
(10/6/2022)

Georgia
(10/6/2022)

Mississippi
(2/8/2024)

North Carolina
(2/8/2024)

Puerto Rico
(10/6/2022)

South Carolina
(1/14/2023)

Tennessee
(1/14/2023)

Exams

State Security Law Exam

IAR

Series 66

Date: 12/12/2013

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/28/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 10/12/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/26/2000

General Securities Representative 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

Stephen J. Joslin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen John Joslin's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

COHEN & STEERS SECURITIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH INVESTMENT MANAGERS LP

FAM DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/12/2013

Series 65

Date: 8/28/1996

SIE

Date: 10/1/2018

Series 31

Date: 10/12/2006

Series 7

Date: 6/26/2000

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