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Natalie S. Baron

FORESIDE FUND SERVICES
Phoenix, AZ 85018
Some features on this profile are disabled
CRD#: 2860307
NB

Professional summary

Natalie Suzanne Baron, who also goes by Natalie Suzanne Jackson, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Phoenix, Arizona.

Natalie is registered as a RR (Registered Representative) and started their career in finance in 1997. Natalie has worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Natalie Suzanne Jackson

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 Natalie Suzanne Baron'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

October 23, 2024 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 4722 N 24th St., Phoenix, AZ 85018
BD
CRD#: 46106
Phoenix, AZ
Past

June 14, 2024 - October 17, 2024

RETIREONE INVESTMENT SERVICES, LLC

BD
CRD#: 269923
LOUISVILLE, KY
Past

June 14, 2023 - May 30, 2024

ATHENE SECURITIES, LLC

BD
CRD#: 36867
WEST DES MOINES, IA
Past

July 29, 2019 - May 28, 2024

GRIFFIN CAPITAL SECURITIES, LLC

BD
CRD#: 37739
Phoenix, AZ
Past

March 6, 2012 - June 28, 2019

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA
CRD#: 106494
SCOTTSDALE, AZ
Past

March 1, 2012 - June 28, 2019

VOYA INVESTMENTS DISTRIBUTOR, LLC

BD
CRD#: 37886
SCOTTSDALE, AZ
Past

September 27, 2010 - August 4, 2011

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
SCOTTSDALE, AZ
Past

June 28, 2010 - August 3, 2011

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SCOTTSDALE, AZ
Past

April 30, 2008 - February 19, 2010

MFS FUND DISTRIBUTORS, INC.

BD
CRD#: 31052
PHOENIX, AZ
Past

December 16, 2003 - April 27, 2007

VOYA FINANCIAL PARTNERS, LLC

RIA
CRD#: 34815
PHOENIX, AZ
Past

December 1, 1999 - April 27, 2007

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
PHOENIX, AZ
Past

April 29, 1999 - November 15, 1999

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

May 1, 1997 - April 1, 1998

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
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
Arizona
(10/25/2024)
RR
Connecticut
(1/16/2025)
RR
Delaware
(1/16/2025)
RR
Maine
(1/16/2025)
RR
Massachusetts
(1/16/2025)
RR
New Hampshire
(1/16/2025)
RR
New Jersey
(1/16/2025)
RR
New York
(1/16/2025)
RR
Pennsylvania
(1/16/2025)
RR
Rhode Island
(1/16/2025)
RR
Vermont
(1/16/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/16/2010
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/21/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/14/1997
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: 4/30/1997
General Securities Representative 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#: 46106Phoenix, AZ 85018

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