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JG

James G. Gentleman

FORESIDE FUND SERVICES
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 3073764
JG
James Gerald GentlemanFORESIDE FUND SERVICES

Professional summary

James Gerald Gentleman, who also goes by James Gentleman, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Chicago, Illinois.

James is registered as a RR (Registered Representative) and started their career in finance in 2007. James has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Aliases

James Gentleman

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 James Gerald Gentleman'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 8, 2026 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 200 West Madison Suite 2610, Chicago, IL 60606
BD
CRD#: 46106
Chicago, IL
Past

July 27, 2022 - May 5, 2026

ADVISORS ASSET MANAGEMENT, INC.

BD
CRD#: 46727
MONUMENT, CO
Past

September 28, 2018 - July 28, 2022

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
CHICAGO, IL
Past

February 22, 2017 - July 30, 2018

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

October 11, 2013 - January 11, 2017

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

November 3, 2008 - June 25, 2012

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
CHICAGO, IL
Past

July 9, 2007 - July 14, 2008

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
PORTLAND, ME

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
(7/8/2026)
RR
Alaska
(7/8/2026)
RR
Arizona
(7/8/2026)
RR
Arkansas
(7/8/2026)
RR
California
(7/8/2026)
RR
Colorado
(7/8/2026)
RR
Connecticut
(7/8/2026)
RR
Delaware
(7/8/2026)
RR
District of Columbia
(7/8/2026)
RR
Florida
(7/8/2026)
RR
Georgia
(7/8/2026)
RR
Hawaii
(7/8/2026)
RR
Idaho
(7/8/2026)
RR
Illinois
(7/8/2026)
RR
Indiana
(7/8/2026)
RR
Iowa
(7/8/2026)
RR
Kansas
(7/8/2026)
RR
Kentucky
(7/8/2026)
RR
Louisiana
(7/8/2026)
RR
Maine
(7/8/2026)
RR
Maryland
(7/8/2026)
RR
Massachusetts
(7/8/2026)
RR
Michigan
(7/8/2026)
RR
Minnesota
(7/8/2026)
RR
Mississippi
(7/8/2026)
RR
Missouri
(7/8/2026)
RR
Montana
(7/8/2026)
RR
Nebraska
(7/8/2026)
RR
Nevada
(7/8/2026)
RR
New Hampshire
(7/8/2026)
RR
New Jersey
(7/8/2026)
RR
New Mexico
(7/8/2026)
RR
New York
(7/8/2026)
RR
North Carolina
(7/8/2026)
RR
North Dakota
(7/8/2026)
RR
Ohio
(7/8/2026)
RR
Oklahoma
(7/8/2026)
RR
Oregon
(7/8/2026)
RR
Pennsylvania
(7/8/2026)
RR
Rhode Island
(7/8/2026)
RR
South Carolina
(7/8/2026)
RR
South Dakota
(7/8/2026)
RR
Tennessee
(7/8/2026)
RR
Texas
(7/8/2026)
RR
Utah
(7/8/2026)
RR
Vermont
(7/8/2026)
RR
Virginia
(7/8/2026)
RR
Washington
(7/8/2026)
RR
West Virginia
(7/8/2026)
RR
Wisconsin
(7/8/2026)
RR
Wyoming
(7/8/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 10/14/2011
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: 12/23/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/8/2007
Investment Company Products/Variable Contracts 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)
Loading...

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

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#: 46106Chicago, IL 60606

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