SF
Steven D. Ford
FORESIDE FUND SERVICES
Memphis, TN 38120
Some features on this profile are disabled
CRD#: 3239298
SF
Professional summary
Steven Dean Ford, who also goes by Steven D Ford, Steven Ford, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Memphis, Tennessee.
Steven is registered as a RR (Registered Representative) and started their career in finance in 2001. Steven has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Steven D Ford | Steven Ford
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.
CRS (Client Relationship Summary) - BD
Click below to view Steven Dean Ford's 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®
NoneExperience
Current
June 9, 2017 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 1661 International Drive, Ste 400, Memphis, TN, 38120Office #2: 350 East Las Olas Boulevard 18th Floor, Fort Lauderdale, FL 33301Office #3: 299 Park Avenue 13th Floor, New York, NY 10171BD
CRD#: 46106
Memphis, TN
Past
January 3, 2012 - May 10, 2017
PACIFIC CURRENT GROUP
BD
CRD#: 156263
TACOMA, WA
Past
June 26, 2008 - August 30, 2012
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
DENVER, CO
Past
July 11, 2005 - January 18, 2007
RYDEX ADVISORY SERVICES, LLC
RIA
CRD#: 132735
ROCKVILLE, MD
Past
July 14, 2003 - January 18, 2007
GUGGENHEIM DISTRIBUTORS, LLC
BD
CRD#: 40805
ALLEN, TX
Past
August 8, 2002 - July 11, 2003
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
SPRINGFIELD, MO
Past
August 8, 2002 - July 11, 2003
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
May 8, 2002 - July 5, 2002
STRONG CAPITAL MANAGEMENT INC
RIA
CRD#: 106638
MENOMONEE FALLS, WI
Past
September 13, 2001 - July 5, 2002
STRONG INVESTMENTS, INC.
BD
CRD#: 15658
MENOMONEE FALLS, WI
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(6/9/2017)
RR
Alaska(6/9/2017)
RR
Arizona(6/9/2017)
RR
Arkansas(6/9/2017)
RR
California(6/9/2017)
RR
Colorado(6/9/2017)
RR
Connecticut(6/9/2017)
RR
Delaware(6/9/2017)
RR
District of Columbia(6/9/2017)
RR
Florida(6/9/2017)
RR
Georgia(6/9/2017)
RR
Hawaii(6/9/2017)
RR
Idaho(6/9/2017)
RR
Illinois(6/9/2017)
RR
Indiana(6/9/2017)
RR
Iowa(6/9/2017)
RR
Kansas(6/9/2017)
RR
Kentucky(6/9/2017)
RR
Louisiana(6/9/2017)
RR
Maine(6/9/2017)
RR
Maryland(6/9/2017)
RR
Massachusetts(6/9/2017)
RR
Michigan(6/9/2017)
RR
Minnesota(6/9/2017)
RR
Mississippi(6/9/2017)
RR
Missouri(6/9/2017)
RR
Montana(6/9/2017)
RR
Nebraska(6/9/2017)
RR
Nevada(6/9/2017)
RR
New Hampshire(6/9/2017)
RR
New Jersey(6/9/2017)
RR
New Mexico(6/9/2017)
RR
New York(6/9/2017)
RR
North Carolina(6/9/2017)
RR
North Dakota(6/9/2017)
RR
Ohio(6/9/2017)
RR
Oklahoma(6/9/2017)
RR
Oregon(6/9/2017)
RR
Pennsylvania(6/9/2017)
RR
Puerto Rico(6/9/2017)
RR
Rhode Island(6/9/2017)
RR
South Carolina(6/9/2017)
RR
South Dakota(6/9/2017)
RR
Tennessee(6/9/2017)
RR
Texas(6/9/2017)
RR
Utah(6/9/2017)
RR
Vermont(6/9/2017)
RR
Virgin Islands(1/5/2021)
RR
Virginia(6/9/2017)
RR
Washington(6/9/2017)
RR
West Virginia(6/9/2017)
RR
Wisconsin(6/9/2017)
RR
Wyoming(6/9/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/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 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
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#: 46106Memphis, TN 38120TRUST BUT VERIFY
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