CP
Chad D. Plotke
FORESIDE FUND SERVICES
Newport Beach, CA 92660
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CRD#: 4006694
CP
Professional summary
Chad David Plotke, CFA, who also goes by Chad David Plotke, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Newport Beach, California.
Chad is registered as a RR (Registered Representative) and started their career in finance in 2008. Chad has worked at 3 firms and has passed the Series 66, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chad David Plotke
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 Chad David Plotke'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
June 6, 2025 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 620 Newport Center Drive, Newport Beach, CA 92660BD
CRD#: 46106
Newport Beach, CA
Past
February 14, 2011 - July 13, 2023
PIMCO INVESTMENTS LLC
BD
CRD#: 154957
NEWPORT BEACH, CA
Past
September 12, 2008 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
BD
CRD#: 25567
NEWPORT BEACH, CA
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(6/9/2025)
RR
Alaska(6/12/2025)
RR
Arizona(6/9/2025)
RR
Arkansas(6/17/2025)
RR
California(6/6/2025)
RR
Colorado(6/9/2025)
RR
Connecticut(6/6/2025)
RR
Delaware(6/9/2025)
RR
District of Columbia(6/10/2025)
RR
Florida(6/6/2025)
RR
Georgia(6/9/2025)
RR
Hawaii(6/13/2025)
RR
Idaho(6/10/2025)
RR
Illinois(6/6/2025)
RR
Indiana(6/19/2025)
RR
Iowa(6/6/2025)
RR
Kansas(6/6/2025)
RR
Kentucky(6/6/2025)
RR
Louisiana(6/6/2025)
RR
Maine(6/9/2025)
RR
Maryland(6/12/2025)
RR
Massachusetts(6/9/2025)
RR
Michigan(6/6/2025)
RR
Minnesota(6/6/2025)
RR
Mississippi(6/6/2025)
RR
Missouri(6/9/2025)
RR
Montana(6/9/2025)
RR
Nebraska(6/6/2025)
RR
Nevada(6/8/2025)
RR
New Hampshire(6/10/2025)
RR
New Jersey(6/6/2025)
RR
New Mexico(6/9/2025)
RR
New York(6/8/2025)
RR
North Carolina(6/12/2025)
RR
North Dakota(6/9/2025)
RR
Ohio(6/9/2025)
RR
Oklahoma(6/6/2025)
RR
Oregon(6/10/2025)
RR
Pennsylvania(6/9/2025)
RR
Rhode Island(6/10/2025)
RR
South Carolina(6/6/2025)
RR
South Dakota(6/9/2025)
RR
Tennessee(6/9/2025)
RR
Texas(6/6/2025)
RR
Utah(6/6/2025)
RR
Vermont(6/9/2025)
RR
Virginia(6/10/2025)
RR
Washington(6/10/2025)
RR
West Virginia(6/16/2025)
RR
Wisconsin(6/10/2025)
RR
Wyoming(6/10/2025)
Exams
State Security Law Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
