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DW

David J. Wurtz

FORESIDE FUND SERVICES
Portland, ME 04101
Some features on this profile are disabled
CRD#: 3094121
DW

Professional summary

David J Wurtz, who also goes by David Joseph Wurtz, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine.

David is registered as a RR (Registered Representative) and started their career in finance in 1998. David has worked at 14 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Joseph Wurtz

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 David J Wurtz'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, 2017 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 46106
Portland, ME
Past

June 21, 2019 - November 14, 2019

PARNASSUS FUNDS DISTRIBUTOR, LLC

BD
CRD#: 15883
Gahanna, OH
Past

January 30, 2018 - November 14, 2019

SMEAD FUNDS DISTRIBUTORS, LLC

BD
CRD#: 173734
PORTLAND, ME
Past

January 30, 2018 - November 14, 2019

STERLING CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 103934
GAHANNA, OH
Past

January 30, 2018 - November 14, 2019

FORESIDE DISTRIBUTION SOLUTIONS, LLC

BD
CRD#: 118787
Gahanna, OH
Past

January 30, 2018 - November 14, 2019

ORBIS INVESTMENTS (U.S.), LLC

BD
CRD#: 172663
Gahanna, OH
Past

January 30, 2018 - November 14, 2019

IMST DISTRIBUTORS, LLC

BD
CRD#: 130745
GAHANNA, OH
Past

January 30, 2018 - November 14, 2019

FUNDS DISTRIBUTOR, LLC

BD
CRD#: 7174
GAHANNA, OH
Past

January 30, 2018 - November 14, 2019

FORESIDE GLOBAL SERVICES, LLC

BD
CRD#: 147382
GAHANNA, OH
Past

January 30, 2018 - November 14, 2019

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
GAHANNA, OH
Past

January 30, 2018 - November 14, 2019

FORESIDE FINANCIAL SERVICES, LLC

BD
CRD#: 148477
Gahanna, OH
Past

January 30, 2018 - November 14, 2019

FORESIDE ASSOCIATES, LLC

BD
CRD#: 13494
GAHANNA, OH
Past

January 4, 2008 - May 1, 2020

BD COMPLIANCE SOLUTIONS, LLC

BD
CRD#: 30188
GAHANNA, OH
Past

December 4, 1998 - January 4, 2008

FORESIDE DISTRIBUTION SERVICES, L.P.

BD
CRD#: 15634
COLUMBUS, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/5/1998
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 6
Date: 11/23/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/11/2007
Investment Company Products/Variable Contracts 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#: 46106Portland, ME 04101

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