JS
John F. Sievers
FORESIDE FUND SERVICES
New York, NY 10036
Some features on this profile are disabled
CRD#: 4072994
JS
Professional summary
John F Sievers, who also goes by John Francis Sievers, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 2000. John has worked at 6 firms and has passed the Series 66, Series 79TO, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
John Francis Sievers
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 John F Sievers'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 19, 2025 - Present
FORESIDE FUND SERVICES, LLC
Office #1: The Grace Building 1114 Avenue Of The Americas 37th Floor, New York, NY 10036BD
CRD#: 46106
New York, NY
Past
December 22, 2021 - June 30, 2025
BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
BD
CRD#: 313390
New York, NY
Past
March 11, 2021 - December 22, 2021
BROOKFIELD PRIVATE ADVISORS LLC
BD
CRD#: 151423
New York, NY
Past
June 19, 2018 - December 22, 2021
INDEPENDENT BROKERAGE SOLUTIONS LLC
BD
CRD#: 153563
NEW YORK, NY
Past
April 7, 2015 - November 24, 2021
OCM INVESTMENTS, LLC
BD
CRD#: 128803
NEW YORK, NY
Past
August 7, 2003 - September 12, 2013
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
April 13, 2000 - June 28, 2002
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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(9/19/2025)
RR
Alaska(9/19/2025)
RR
Arizona(9/19/2025)
RR
Arkansas(9/19/2025)
RR
California(9/19/2025)
RR
Colorado(9/19/2025)
RR
Connecticut(9/19/2025)
RR
Delaware(9/19/2025)
RR
District of Columbia(9/19/2025)
RR
Florida(9/19/2025)
RR
Georgia(9/19/2025)
RR
Hawaii(9/19/2025)
RR
Idaho(9/19/2025)
RR
Illinois(9/19/2025)
RR
Indiana(9/19/2025)
RR
Iowa(9/19/2025)
RR
Kansas(9/19/2025)
RR
Kentucky(9/19/2025)
RR
Louisiana(9/19/2025)
RR
Maine(9/19/2025)
RR
Maryland(9/19/2025)
RR
Massachusetts(9/19/2025)
RR
Michigan(9/19/2025)
RR
Minnesota(9/19/2025)
RR
Mississippi(9/19/2025)
RR
Missouri(9/19/2025)
RR
Montana(9/19/2025)
RR
Nebraska(9/19/2025)
RR
Nevada(9/19/2025)
RR
New Hampshire(9/19/2025)
RR
New Jersey(9/19/2025)
RR
New Mexico(9/19/2025)
RR
New York(9/19/2025)
RR
North Carolina(9/19/2025)
RR
North Dakota(9/19/2025)
RR
Ohio(9/19/2025)
RR
Oklahoma(9/19/2025)
RR
Oregon(9/19/2025)
RR
Pennsylvania(9/19/2025)
RR
Puerto Rico(9/19/2025)
RR
Rhode Island(9/19/2025)
RR
South Carolina(9/19/2025)
RR
South Dakota(9/19/2025)
RR
Tennessee(9/19/2025)
RR
Texas(9/19/2025)
RR
Utah(9/19/2025)
RR
Vermont(9/19/2025)
RR
Virgin Islands(9/19/2025)
RR
Virginia(9/19/2025)
RR
Washington(9/19/2025)
RR
West Virginia(9/19/2025)
RR
Wisconsin(9/19/2025)
RR
Wyoming(9/19/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral 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.
