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MG

Michael F. Gaffney

FORESIDE FUND SERVICES
DENVER, CO 80206
Some features on this profile are disabled
CRD#: 3188428
MG
Michael Francis GaffneyFORESIDE FUND SERVICES

Professional summary

Michael Francis Gaffney is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Denver, Colorado.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1999. Michael has worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 9 and Series 24 exams.

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Francis Gaffney'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

August 20, 2026 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 200 Columbine Street Suite 800, Denver, CO 80206
BD
CRD#: 46106
DENVER, CO
Past

March 4, 2021 - July 9, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
SAN DIEGO, CA
Past

January 9, 2012 - August 12, 2019

FERRETTI GROUP, INC.

BD
CRD#: 47768
BROOMFIELD, CO
Past

February 25, 2009 - December 20, 2011

WJB CAPITAL GROUP, INC.

BD
CRD#: 37334
DENVER, CO
Past

November 5, 1999 - February 24, 2009

ICON DISTRIBUTORS, INC.

BD
CRD#: 28568
GREENWOOD VILLAGE, CO
Past

April 6, 1999 - April 7, 1999

T. KENNY & CO., INC.

BD
CRD#: 30969
EDWARDS, CO

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
Colorado
(8/21/2026)
RR
District of Columbia
(8/20/2026)
RR
Florida
(8/20/2026)
RR
Illinois
(8/20/2026)
RR
Indiana
(8/20/2026)
RR
Kentucky
(8/20/2026)
RR
Michigan
(8/20/2026)
RR
Minnesota
(8/20/2026)
RR
Mississippi
(8/20/2026)
RR
Montana
(8/20/2026)
RR
Nebraska
(8/20/2026)
RR
New Jersey
(8/20/2026)
RR
Ohio
(8/20/2026)
RR
Oklahoma
(8/20/2026)
RR
South Carolina
(8/20/2026)
RR
South Dakota
(8/20/2026)
RR
Tennessee
(8/20/2026)
RR
Texas
(8/20/2026)
RR
Vermont
(8/20/2026)
RR
Washington
(8/20/2026)
RR
Wisconsin
(8/20/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 7/17/2009
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 55
Date: 10/15/2010
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 2/25/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/26/2011
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/16/2009
General Securities 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)

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#: 46106Denver, CO 80206

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