James Eugene Carl
Professional Summary
James Eugene Carl is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC
Contact Information
Main Address
190 Middle Street Suite 301, Portland, ME 04101Mailing Address
190 Middle Street Suite 301, Portland, ME 04101Phone Number
(207) 553-7110Established
Delaware since 09/08/1998Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
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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.
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State Registrations and Notice Filings
(9/28/2009)
(9/18/2009)
(10/1/2009)
(9/30/2009)
(9/21/2009)
(9/21/2009)
(9/21/2009)
(10/9/2009)
(10/5/2009)
(9/30/2009)
(9/18/2009)
(9/28/2009)
(9/18/2009)
(9/18/2009)
(9/22/2009)
(9/21/2009)
(9/18/2009)
(9/21/2009)
(9/29/2009)
(9/18/2009)
(9/22/2009)
(9/21/2009)
(9/22/2009)
(9/21/2009)
(9/22/2009)
(9/18/2009)
(9/29/2009)
(9/23/2009)
(9/18/2009)
(10/29/2009)
(9/29/2009)
(9/29/2009)
(9/21/2009)
(9/21/2009)
(9/18/2009)
(9/29/2009)
(9/18/2009)
(9/21/2009)
(9/18/2009)
(9/21/2009)
(9/21/2009)
(9/30/2009)
(10/1/2009)
(9/22/2009)
(9/23/2009)
(10/8/2009)
(9/18/2009)
(9/18/2009)
(9/30/2009)
(9/22/2009)
(9/18/2009)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Eugene Carl's CRS (Customer Relationship Summary).
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