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DL

Daniel M. Long

FORESIDE FUND SERVICES
Los Angeles, CA 90071
Some features on this profile are disabled
CRD#: 2874868
DL

Professional summary

Daniel Michael Long, AIF®, who also goes by Dan Long, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Los Angeles, California.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1997. Daniel has worked at 7 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dan Long

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 Daniel Michael Long'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®
AIF®

Accredited Investment Fiduciary

Experience

Current

September 14, 2018 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 333 S. Grand Avenue 18th Floor, Los Angeles, CA 90071
BD
CRD#: 46106
Los Angeles, CA
Past

December 9, 2017 - July 31, 2018

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
CHICAGO, IL
Past

November 30, 2017 - July 31, 2018

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
CHICAGO, IL
Past

January 4, 2017 - November 21, 2017

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

December 1, 2010 - January 4, 2017

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
CHICAGO, IL
Past

September 27, 2005 - October 28, 2010

BIRCHTREE FINANCIAL SERVICES LLC

BD
CRD#: 15014
CHICAGO, IL
Past

October 1, 1998 - September 14, 2005

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

December 16, 1997 - September 23, 1998

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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
(1/3/2019)
RR
Alaska
(1/3/2019)
RR
Arizona
(1/3/2019)
RR
Arkansas
(1/3/2019)
RR
California
(1/3/2019)
RR
Colorado
(1/3/2019)
RR
Connecticut
(1/3/2019)
RR
Delaware
(1/3/2019)
RR
District of Columbia
(1/3/2019)
RR
Florida
(1/3/2019)
RR
Georgia
(1/3/2019)
RR
Hawaii
(1/3/2019)
RR
Idaho
(1/3/2019)
RR
Illinois
(9/14/2018)
RR
Indiana
(1/3/2019)
RR
Iowa
(1/3/2019)
RR
Kansas
(1/3/2019)
RR
Kentucky
(1/3/2019)
RR
Louisiana
(1/3/2019)
RR
Maine
(1/3/2019)
RR
Maryland
(1/3/2019)
RR
Massachusetts
(1/3/2019)
RR
Michigan
(1/3/2019)
RR
Minnesota
(1/3/2019)
RR
Mississippi
(1/3/2019)
RR
Missouri
(1/3/2019)
RR
Montana
(1/3/2019)
RR
Nebraska
(1/3/2019)
RR
Nevada
(1/3/2019)
RR
New Hampshire
(1/3/2019)
RR
New Jersey
(1/3/2019)
RR
New Mexico
(1/3/2019)
RR
New York
(1/3/2019)
RR
North Carolina
(1/3/2019)
RR
North Dakota
(1/3/2019)
RR
Ohio
(1/3/2019)
RR
Oklahoma
(1/3/2019)
RR
Oregon
(1/3/2019)
RR
Pennsylvania
(1/3/2019)
RR
Rhode Island
(1/3/2019)
RR
South Carolina
(1/3/2019)
RR
South Dakota
(1/3/2019)
RR
Tennessee
(1/3/2019)
RR
Texas
(1/3/2019)
RR
Utah
(1/3/2019)
RR
Vermont
(1/3/2019)
RR
Virgin Islands
(1/3/2019)
RR
Virginia
(1/3/2019)
RR
Washington
(1/3/2019)
RR
West Virginia
(1/3/2019)
RR
Wisconsin
(1/3/2019)
RR
Wyoming
(1/3/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/8/2017
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 3/6/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/20/1999
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: 12/15/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 1/27/2011
Investment Company Products/Variable Contracts 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#: 46106Los Angeles, CA 90071

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