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SS

Stephen R. Simpkin

FORESIDE FUND SERVICES
Portland, ME 04101
Some features on this profile are disabled
CRD#: 3136319
SS

Professional summary

Stephen Roy Simpkin, who also goes by Stephen Simpkin, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1998. Stephen has worked at 9 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephen Simpkin

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 Stephen Roy Simpkin'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

April 17, 2026 - Present

FORESIDE FUND SERVICES, LLC

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

July 5, 2016 - October 20, 2025

VICTORY CAPITAL MANAGEMENT INC.

RIA
CRD#: 106189
Austin, TX
Past

July 5, 2016 - October 20, 2025

VICTORY CAPITAL SERVICES, INC.

BD
CRD#: 37059
San Francisco, CA
Past

March 14, 2016 - June 1, 2016

BTIG, LLC

BD
CRD#: 122225
SAN FRANCISCO, CA
Past

October 31, 2012 - July 9, 2014

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
RICHMOND, VA
Past

April 1, 2004 - February 12, 2009

LAZARD ASSET MANAGEMENT SECURITIES LLC

BD
CRD#: 129119
SAN FRANCISCO, CA
Past

September 25, 2003 - April 1, 2004

LAZARD FRERES & CO. LLC

BD
CRD#: 2528
NEW YORK, NY
Past

November 27, 2000 - June 27, 2003

MFS FUND DISTRIBUTORS, INC.

BD
CRD#: 31052
BOSTON, MA
Past

December 1, 1998 - November 7, 2000

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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
California
(4/17/2026)
RR
Connecticut
(4/20/2026)
RR
Delaware
(4/20/2026)
RR
Florida
(4/20/2026)
RR
Georgia
(4/20/2026)
RR
Hawaii
(4/20/2026)
RR
Idaho
(4/17/2026)
RR
Indiana
(4/20/2026)
RR
Iowa
(4/20/2026)
RR
Louisiana
(4/20/2026)
RR
Minnesota
(4/20/2026)
RR
Missouri
(4/17/2026)
RR
Nebraska
(4/17/2026)
RR
Ohio
(4/19/2026)
RR
Oklahoma
(4/20/2026)
RR
Tennessee
(4/20/2026)
RR
Texas
(4/20/2026)
RR
Utah
(4/20/2026)
RR
Washington
(4/20/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 4/4/2016
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/22/1998
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/24/1998
General Securities 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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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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