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DM

Douglas R. Magic

FORESIDE FUND SERVICES
Fort Lauderdale, FL 33301
Some features on this profile are disabled
CRD#: 2894256
DM

Professional summary

Douglas Robert Magic is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Fort Lauderdale, Florida.

Douglas is registered as a RR (Registered Representative) and started their career in finance in 1997. Douglas has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Douglas Robert Magic'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

July 26, 2018 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 350 East Las Olas Boulevard 18th Floor, Fort Lauderdale, FL 33301
BD
CRD#: 46106
Fort Lauderdale, FL
Past

July 11, 2016 - April 3, 2018

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL
Past

March 12, 2008 - July 6, 2016

WADDELL & REED

RIA
CRD#: 866
OVERLAND PARK, KS
Past

December 17, 2007 - July 6, 2016

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

December 17, 2007 - July 6, 2016

IVY DISTRIBUTORS, INC.

BD
CRD#: 16496
OVERLAND PARK, KS
Past

February 5, 2004 - November 12, 2007

BNY MELLON SECURITIES CORPORATION

RIA
CRD#: 231
NEWPORT BEACH, CA
Past

February 5, 2004 - November 12, 2007

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

December 7, 2001 - January 16, 2004

OFI PRIVATE INVESTMENTS INC

RIA
CRD#: 107807
NEW YORK, NY
Past

May 5, 2000 - January 21, 2004

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BD
CRD#: 7834
NEW YORK, NY
Past

April 20, 1999 - April 7, 2000

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
BOSTON, MA
Past

July 23, 1997 - March 22, 1999

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
Alaska
(7/26/2018)
RR
California
(7/26/2018)
RR
Idaho
(7/26/2018)
RR
Montana
(5/1/2025)
RR
Nevada
(7/26/2018)
RR
Oregon
(7/26/2018)
RR
Washington
(7/26/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/31/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/29/1997
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: 7/22/1997
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#: 46106Fort Lauderdale, FL 33301

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