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BO

Brian R. O'donnell

FORESIDE FUND SERVICES
Larkspur, CA 94939
Some features on this profile are disabled
CRD#: 2897585
BO

Professional summary

Brian Richard O'donnell, who also goes by Brian Richard O'donnell, Brian Odonnell, Brian Richard Odonnell, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Larkspur, California.

Brian is registered as a RR (Registered Representative) and started their career in finance in 1997. Brian has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brian Richard O'donnell | Brian Odonnell | Brian Richard Odonnell

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 Brian Richard O'donnell'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

February 7, 2022 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 700 Larkspur Landing Circle Suite 250, Larkspur, CA 94939
BD
CRD#: 46106
Larkspur, CA
Past

September 28, 2018 - December 22, 2021

NORTHERN TRUST INVESTMENTS, INCORPORATED

RIA
CRD#: 105780
Chicago, IL
Past

September 14, 2018 - October 4, 2021

NORTHERN TRUST SECURITIES, INC.

BD
CRD#: 7927
CHICAGO, IL
Past

January 3, 2012 - September 26, 2017

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
CHICAGO, IL
Past

July 23, 2009 - December 31, 2011

BLACKROCK FUND DISTRIBUTION COMPANY

BD
CRD#: 146183
CHICAGO, IL
Past

November 15, 2001 - September 26, 2017

BLACKROCK FUND ADVISORS

RIA
CRD#: 105247
CHICAGO, IL
Past

September 19, 2001 - July 23, 2009

BLACKROCK EXECUTION SERVICES

BD
CRD#: 39438
CHICAGO, IL
Past

September 17, 1997 - November 10, 2000

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
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
Alabama
(2/7/2022)
RR
Alaska
(2/7/2022)
RR
Arizona
(2/7/2022)
RR
Arkansas
(2/7/2022)
RR
California
(2/7/2022)
RR
Colorado
(2/7/2022)
RR
Connecticut
(2/7/2022)
RR
Delaware
(2/7/2022)
RR
District of Columbia
(2/7/2022)
RR
Florida
(2/7/2022)
RR
Georgia
(2/7/2022)
RR
Hawaii
(2/7/2022)
RR
Idaho
(2/7/2022)
RR
Illinois
(2/7/2022)
RR
Indiana
(2/7/2022)
RR
Iowa
(2/7/2022)
RR
Kansas
(2/7/2022)
RR
Kentucky
(2/7/2022)
RR
Louisiana
(2/7/2022)
RR
Maine
(2/7/2022)
RR
Maryland
(2/7/2022)
RR
Massachusetts
(2/7/2022)
RR
Michigan
(2/7/2022)
RR
Minnesota
(2/7/2022)
RR
Mississippi
(2/7/2022)
RR
Missouri
(2/7/2022)
RR
Montana
(2/8/2022)
RR
Nebraska
(2/7/2022)
RR
Nevada
(2/7/2022)
RR
New Hampshire
(2/7/2022)
RR
New Jersey
(2/7/2022)
RR
New Mexico
(2/7/2022)
RR
New York
(2/7/2022)
RR
North Carolina
(2/7/2022)
RR
North Dakota
(2/7/2022)
RR
Ohio
(2/7/2022)
RR
Oklahoma
(2/7/2022)
RR
Oregon
(2/7/2022)
RR
Pennsylvania
(2/7/2022)
RR
Puerto Rico
(3/6/2024)
RR
Rhode Island
(2/7/2022)
RR
South Carolina
(2/7/2022)
RR
South Dakota
(2/7/2022)
RR
Tennessee
(2/7/2022)
RR
Texas
(2/7/2022)
RR
Utah
(2/7/2022)
RR
Vermont
(2/7/2022)
RR
Virginia
(2/7/2022)
RR
Washington
(2/7/2022)
RR
West Virginia
(2/7/2022)
RR
Wisconsin
(2/7/2022)
RR
Wyoming
(2/7/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/19/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/15/1997
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: 9/10/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/30/2012
General Securities 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#: 46106Larkspur, CA 94939

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