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CA

Caeli Andrews

FORESIDE FUND SERVICES
Bethesda, MD 20814
Some features on this profile are disabled
CRD#: 4056631
CA

Professional summary

Caeli Andrews, who also goes by Caeli Rougas-andrews, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Bethesda, Maryland.

Caeli is registered as a RR (Registered Representative) and started their career in finance in 2000. Caeli has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Caeli Rougas-Andrews

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Caeli Andrews's CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 8, 2026 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 4800 Montgomery Lane Suite 150, Bethesda, MD 20814
BD
CRD#: 46106
Bethesda, MD
Past

April 1, 2022 - November 13, 2025

ARBOR COURT CAPITAL, LLC

BD
CRD#: 143839
BROADVIEW HEIGHTS, OH
Past

July 27, 2010 - April 7, 2022

RAFFERTY CAPITAL MARKETS, LLC

BD
CRD#: 23682
GARDEN CITY, NY
Past

January 2, 2009 - March 15, 2010

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
ALEXANDRIA, VA
Past

March 29, 2007 - January 5, 2009

FORESIDE PLAZA DISTRIBUTORS, LLC

BD
CRD#: 103739
ALEXANDRIA, VA
Past

January 22, 2002 - March 13, 2007

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

BD
CRD#: 487
CHARLOTTE, NC
Past

October 24, 2000 - November 12, 2001

NATIXIS DISTRIBUTION, LLC

BD
CRD#: 34754
BOSTON, MA
Past

January 13, 2000 - September 11, 2000

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
WINDSOR, CT

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
(1/8/2026)
RR
Alaska
(1/8/2026)
RR
Arizona
(1/8/2026)
RR
Arkansas
(1/8/2026)
RR
California
(1/8/2026)
RR
Colorado
(1/8/2026)
RR
Connecticut
(1/8/2026)
RR
Delaware
(1/8/2026)
RR
District of Columbia
(1/8/2026)
RR
Florida
(1/8/2026)
RR
Georgia
(1/8/2026)
RR
Hawaii
(1/8/2026)
RR
Idaho
(1/8/2026)
RR
Illinois
(1/8/2026)
RR
Indiana
(1/8/2026)
RR
Iowa
(1/8/2026)
RR
Kansas
(1/8/2026)
RR
Kentucky
(1/8/2026)
RR
Louisiana
(1/8/2026)
RR
Maine
(1/8/2026)
RR
Maryland
(1/8/2026)
RR
Massachusetts
(1/8/2026)
RR
Michigan
(1/8/2026)
RR
Minnesota
(1/8/2026)
RR
Mississippi
(1/8/2026)
RR
Missouri
(1/8/2026)
RR
Montana
(1/8/2026)
RR
Nebraska
(1/8/2026)
RR
Nevada
(1/8/2026)
RR
New Hampshire
(1/8/2026)
RR
New Jersey
(1/8/2026)
RR
New Mexico
(1/8/2026)
RR
New York
(1/8/2026)
RR
North Carolina
(1/8/2026)
RR
North Dakota
(1/8/2026)
RR
Ohio
(1/8/2026)
RR
Oklahoma
(1/8/2026)
RR
Oregon
(1/8/2026)
RR
Pennsylvania
(1/8/2026)
RR
Rhode Island
(1/8/2026)
RR
South Carolina
(1/8/2026)
RR
South Dakota
(1/8/2026)
RR
Tennessee
(1/8/2026)
RR
Texas
(1/8/2026)
RR
Utah
(1/8/2026)
RR
Vermont
(1/8/2026)
RR
Virginia
(1/8/2026)
RR
Washington
(1/8/2026)
RR
West Virginia
(1/8/2026)
RR
Wisconsin
(1/8/2026)
RR
Wyoming
(1/8/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 12/17/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/3/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/11/2000
Investment Company Products/Variable Contracts Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS, LLCSOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKIPRES/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145
STROUT, ALICIA KIMBERLYCHIEF COMPLIANCE OFFICER/VICE PRESIDENT6320351

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#: 46106Bethesda, MD 20814

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