BD
Brian K. Diessner
FORESIDE FUND SERVICES
New York, NY 10158
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CRD#: 3008672
BD
Professional summary
Brian Karl Diessner is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in New York, New York.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1998. Brian has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Brian Karl Diessner's 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®
NoneExperience
Current
August 24, 2015 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 605 Third Avenue 43rd Floor, New York, NY 10158BD
CRD#: 46106
New York, NY
Past
January 15, 2014 - June 10, 2015
BLACKROCK FUND ADVISORS
RIA
CRD#: 105247
SAN FRANCISCO, CA
Past
January 3, 2012 - June 10, 2015
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
SAN FRANCISCO, CA
Past
August 22, 2008 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
BD
CRD#: 146183
SAN FRANCISCO, CA
Past
February 7, 2000 - December 31, 2009
BLACKROCK EXECUTION SERVICES
BD
CRD#: 39438
SAN FRANCISCO, CA
Past
January 19, 1999 - January 5, 2000
STEPHENS
BD
CRD#: 3496
LITTLE ROCK, AR
Past
October 1, 1998 - December 7, 1998
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
February 18, 1998 - October 1, 1998
BANCAMERICA SECURITIES, INC.
BD
CRD#: 17977
SAN FRANCISCO, CA
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(8/24/2015)
RR
Alaska(8/24/2015)
RR
Arizona(8/24/2015)
RR
Arkansas(8/24/2015)
RR
California(8/24/2015)
RR
Colorado(8/24/2015)
RR
Connecticut(8/24/2015)
RR
Delaware(8/24/2015)
RR
District of Columbia(8/24/2015)
RR
Florida(8/24/2015)
RR
Georgia(8/24/2015)
RR
Hawaii(8/24/2015)
RR
Idaho(8/24/2015)
RR
Illinois(8/24/2015)
RR
Indiana(8/24/2015)
RR
Iowa(8/24/2015)
RR
Kansas(8/24/2015)
RR
Kentucky(8/24/2015)
RR
Louisiana(8/24/2015)
RR
Maine(8/24/2015)
RR
Maryland(8/24/2015)
RR
Massachusetts(8/24/2015)
RR
Michigan(8/24/2015)
RR
Minnesota(8/24/2015)
RR
Mississippi(8/24/2015)
RR
Missouri(8/24/2015)
RR
Montana(8/24/2015)
RR
Nebraska(8/24/2015)
RR
Nevada(8/24/2015)
RR
New Hampshire(8/24/2015)
RR
New Jersey(8/24/2015)
RR
New Mexico(8/24/2015)
RR
New York(8/24/2015)
RR
North Carolina(8/24/2015)
RR
North Dakota(8/24/2015)
RR
Ohio(8/24/2015)
RR
Oklahoma(8/24/2015)
RR
Oregon(8/24/2015)
RR
Pennsylvania(8/24/2015)
RR
Puerto Rico(8/24/2015)
RR
Rhode Island(8/24/2015)
RR
South Carolina(8/24/2015)
RR
South Dakota(8/24/2015)
RR
Tennessee(3/8/2017)
RR
Texas(8/24/2015)
RR
Utah(8/24/2015)
RR
Vermont(8/24/2015)
RR
Virgin Islands(8/24/2015)
RR
Virginia(8/24/2015)
RR
Washington(8/24/2015)
RR
West Virginia(8/24/2015)
RR
Wisconsin(8/24/2015)
RR
Wyoming(8/24/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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)
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
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.
