JC
James E. Carl
FORESIDE FUND SERVICES
Bethesda, MD 20814
Some features on this profile are disabled
CRD#: 4037544
JC
Professional summary
James Eugene Carl is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Bethesda, Maryland.
James is registered as a RR (Registered Representative) and started their career in finance in 1999. James has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view James Eugene Carl'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
September 18, 2009 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 4800 Montgomery Lane Suite 150, Bethesda, MD 20814BD
CRD#: 46106
Bethesda, MD
Past
November 1, 2007 - October 2, 2008
SPIRE SECURITIES, LLC
BD
CRD#: 144131
MCLEAN, VA
Past
May 3, 2007 - October 2, 2008
SPIRE WEALTH MANAGEMENT, LLC
RIA
CRD#: 113908
RESTON, VA
Past
October 14, 2005 - November 2, 2007
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
MCLEAN, VA
Past
June 21, 2000 - October 23, 2002
GOLDMAN SACHS CUSTODY SOLUTIONS
BD
CRD#: 48015
MCLEAN, VA
Past
November 9, 1999 - June 27, 2000
LOCKWOOD FINANCIAL SERVICES, INC.
BD
CRD#: 40655
MALVERN, PA
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(9/28/2009)
RR
Alaska(9/18/2009)
RR
Arizona(10/1/2009)
RR
Arkansas(9/30/2009)
RR
California(9/21/2009)
RR
Colorado(9/21/2009)
RR
Connecticut(9/21/2009)
RR
Delaware(10/9/2009)
RR
District of Columbia(10/5/2009)
RR
Florida(9/30/2009)
RR
Georgia(9/18/2009)
RR
Hawaii(9/28/2009)
RR
Idaho(9/18/2009)
RR
Illinois(9/18/2009)
RR
Indiana(9/22/2009)
RR
Iowa(9/21/2009)
RR
Kansas(9/18/2009)
RR
Kentucky(9/21/2009)
RR
Louisiana(9/29/2009)
RR
Maine(9/18/2009)
RR
Maryland(9/22/2009)
RR
Massachusetts(9/21/2009)
RR
Michigan(9/22/2009)
RR
Minnesota(9/21/2009)
RR
Mississippi(9/22/2009)
RR
Missouri(9/18/2009)
RR
Montana(9/29/2009)
RR
Nevada(9/23/2009)
RR
New Hampshire(9/18/2009)
RR
New Jersey(10/29/2009)
RR
New Mexico(9/29/2009)
RR
New York(9/29/2009)
RR
North Carolina(9/21/2009)
RR
North Dakota(9/21/2009)
RR
Ohio(9/18/2009)
RR
Oklahoma(9/29/2009)
RR
Oregon(9/18/2009)
RR
Pennsylvania(9/21/2009)
RR
Puerto Rico(9/18/2009)
RR
Rhode Island(9/21/2009)
RR
South Carolina(9/21/2009)
RR
South Dakota(9/30/2009)
RR
Tennessee(10/1/2009)
RR
Utah(9/22/2009)
RR
Vermont(9/23/2009)
RR
Virgin Islands(10/8/2009)
RR
Virginia(9/18/2009)
RR
Washington(9/18/2009)
RR
West Virginia(9/30/2009)
RR
Wisconsin(9/22/2009)
RR
Wyoming(9/18/2009)
Exams
State Security Law 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)
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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.
