ND
Nicholas I. Dalgety
FORESIDE FUND SERVICES
Los Angeles, CA 90071
Some features on this profile are disabled
CRD#: 3270167
ND
Professional summary
Nicholas Ian Dalgety, CFP®, who also goes by Nick Dalgety, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Los Angeles, California.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 1999. Nicholas has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nick Dalgety
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 Nicholas Ian Dalgety'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®
Experience
Current
January 2, 2015 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 333 S. Grand Avenue 18th Floor, Los Angeles, CA 90071BD
CRD#: 46106
Los Angeles, CA
Past
May 7, 2013 - December 31, 2014
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
PORTLAND, ME
Past
October 22, 2012 - April 26, 2013
NORTHERN LIGHTS DISTRIBUTORS, LLC
BD
CRD#: 126159
ELKHORN, NE
Past
May 25, 2012 - June 27, 2012
BALASA DINVERNO FOLTZ LLC
RIA
CRD#: 113630
ITASCA, IL
Past
August 12, 1999 - August 11, 2011
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
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
Alabama(1/3/2019)
RR
Alaska(1/3/2019)
RR
Arizona(1/3/2019)
RR
Arkansas(7/30/2015)
RR
California(1/2/2015)
RR
Colorado(1/2/2015)
RR
Connecticut(1/3/2019)
RR
Delaware(1/3/2019)
RR
District of Columbia(1/3/2019)
RR
Florida(1/3/2019)
RR
Georgia(1/3/2019)
RR
Hawaii(1/3/2019)
RR
Idaho(1/3/2019)
RR
Illinois(1/2/2015)
RR
Indiana(1/2/2015)
RR
Iowa(1/2/2015)
RR
Kansas(1/2/2015)
RR
Kentucky(7/30/2015)
RR
Louisiana(7/30/2015)
RR
Maine(1/3/2019)
RR
Maryland(1/3/2019)
RR
Massachusetts(1/3/2019)
RR
Michigan(1/4/2016)
RR
Minnesota(1/2/2015)
RR
Mississippi(7/30/2015)
RR
Missouri(1/2/2015)
RR
Montana(1/3/2019)
RR
Nebraska(1/2/2015)
RR
Nevada(1/3/2019)
RR
New Hampshire(1/3/2019)
RR
New Jersey(1/3/2019)
RR
New Mexico(1/3/2019)
RR
New York(1/3/2019)
RR
North Carolina(1/3/2019)
RR
North Dakota(1/2/2015)
RR
Ohio(1/2/2015)
RR
Oklahoma(7/30/2015)
RR
Oregon(1/3/2019)
RR
Pennsylvania(1/3/2019)
RR
Rhode Island(1/3/2019)
RR
South Carolina(1/3/2019)
RR
South Dakota(1/2/2015)
RR
Tennessee(7/30/2015)
RR
Texas(7/30/2015)
RR
Utah(1/3/2019)
RR
Vermont(1/3/2019)
RR
Virgin Islands(1/3/2019)
RR
Virginia(1/3/2019)
RR
Washington(1/3/2019)
RR
West Virginia(1/3/2019)
RR
Wisconsin(1/2/2015)
RR
Wyoming(1/3/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See 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)
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.
