Stephanie L. Brown
Professional summary
Stephanie Lynne Brown, who also goes by Stephanie Brown, Steph Grace, Stephanie L Grace, Stephanie Lynne Grace, is a registered financial professional currently at FORESIDE FINANCIAL SERVICES, LLC located in Portland, Maine.
Stephanie is registered as a RR (Registered Representative) and started their career in finance in 1998. Stephanie has worked at 11 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephanie Lynne Brown's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 9, 2023 - Present
FORESIDE FINANCIAL SERVICES, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101March 29, 2022 - September 7, 2022
APOLLO GLOBAL SECURITIES, LLC
March 29, 2016 - March 29, 2022
GRIFFIN CAPITAL SECURITIES, LLC
May 31, 2011 - January 29, 2016
FS INVESTMENT SOLUTIONS, LLC
December 4, 2008 - May 26, 2011
U.S. SELECT SECURITIES LLC
June 25, 2008 - September 26, 2008
DBSI SECURITIES CORPORATION
August 23, 2006 - June 19, 2008
NORTHERN TRUST SECURITIES, INC.
March 25, 2004 - July 31, 2006
PACIFIC CORNERSTONE CAPITAL INCORPORATED
April 28, 2003 - March 16, 2004
VAN ECK CAPITAL, INC.
January 1, 1999 - March 16, 2004
VAN ECK SECURITIES CORPORATION
June 5, 1998 - December 10, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
FINRA
Current Firm
FORESIDE FINANCIAL SERVICES, LLC
CRD#: 148477 / SEC#: , 8-68027
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/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 |
Red Flags
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Company Information
FORESIDE FINANCIAL SERVICES, LLC
CRD#: 148477Portland, ME 04101TRUST BUT VERIFY
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