Mark D. Goodwin

FORESIDE FUND SERVICES

Chicago, IL 60606

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CRD#: 2947625

Professional summary

Mark David Goodwin is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Chicago, Illinois.

Mark is registered as a RR (Registered Representative) and started their career in finance in 2001. Mark has worked at 5 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

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 Mark David Goodwin'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

December 2, 2022 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 200 West Madison Suite 2610, Chicago, IL 60606

CRD#: 46106

Chicago, IL

Past

December 12, 2018 - December 31, 2022

COMPASS DISTRIBUTORS, LLC

CRD#: 172662

Chicago, IL

Past

June 18, 2015 - December 31, 2018

IMST DISTRIBUTORS, LLC

CRD#: 130745

Chicago, IL

Past

May 22, 2015 - August 15, 2018

OAK RIDGE INVESTMENTS, LLC

RIA

CRD#: 107066

CHICAGO, IL

Past

October 1, 2001 - October 15, 2014

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

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

Illinois
(1/3/2023)

Massachusetts
(1/3/2023)

Exams

State Security Law Exam

IAR

Series 66

Date: 8/14/2014

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/10/2014

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/9/2014

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 9/17/2001

Financial and Operations Principal 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)

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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)

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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Mark D. Goodwin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark David Goodwin's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMPASS DISTRIBUTORS, LLC

IMST DISTRIBUTORS, LLC

OAK RIDGE INVESTMENTS, LLC

AMUNDI DISTRIBUTOR US, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/14/2014

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/10/2014

Series 24

Date: 9/9/2014

Series 27

Date: 9/17/2001

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

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