Robin W. Tardy

FORESIDE FUND SERVICES

Lisle, IL 60532

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CRD#: 4159996

Professional summary

Robin Westrom Tardy, who also goes by Robin Lisa Tardy, Robin Tardy, Robin Lisa Westrom, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Lisle, Illinois.

Robin is registered as a RR (Registered Representative) and started their career in finance in 2000. Robin has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Robin Lisa Tardy | Robin Tardy | Robin Lisa Westrom

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 Robin Westrom Tardy'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

September 18, 2024 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 3333 Warrenville Road Suite 350, Lisle, IL 60532

CRD#: 46106

Lisle, IL

Past

September 13, 2018 - June 11, 2024

NORTHERN TRUST INVESTMENTS, INCORPORATED

RIA

CRD#: 105780

Chicago, IL

Past

April 20, 2016 - June 11, 2024

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

CHICAGO, IL

Past

March 4, 2014 - March 14, 2016

GUGGENHEIM INVESTMENTS

RIA

CRD#: 105477

CHICAGO, IL

Past

October 2, 2012 - March 3, 2014

GUGGENHEIM DISTRIBUTORS, LLC

CRD#: 40805

LISLE, IL

Past

March 10, 2004 - November 4, 2008

GUGGENHEIM INVESTMENTS

RIA

CRD#: 129288

LISLE, IL

Past

March 5, 2004 - May 25, 2004

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

RIA

CRD#: 39805

chicago, IL

Past

July 15, 2003 - March 14, 2016

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805

chicago, IL

Past

April 18, 2000 - July 11, 2003

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519

WHEATON, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(10/3/2024)

Alaska
(1/2/2025)

Arizona
(10/3/2024)

Arkansas
(1/2/2025)

California
(1/2/2025)

Colorado
(10/3/2024)

Connecticut
(1/2/2025)

Delaware
(1/2/2025)

District of Columbia
(1/2/2025)

Florida
(10/3/2024)

Georgia
(10/3/2024)

Hawaii
(1/2/2025)

Idaho
(1/2/2025)

Illinois
(9/18/2024)

Indiana
(1/2/2025)

Iowa
(1/2/2025)

Kansas
(1/2/2025)

Kentucky
(1/2/2025)

Louisiana
(1/2/2025)

Maine
(1/2/2025)

Maryland
(1/2/2025)

Massachusetts
(1/2/2025)

Michigan
(1/2/2025)

Minnesota
(1/2/2025)

Mississippi
(1/2/2025)

Missouri
(1/2/2025)

Montana
(1/6/2025)

Nebraska
(1/2/2025)

Nevada
(1/2/2025)

New Hampshire
(1/2/2025)

New Jersey
(10/3/2024)

New Mexico
(1/2/2025)

New York
(10/3/2024)

North Carolina
(10/3/2024)

North Dakota
(1/2/2025)

Ohio
(1/2/2025)

Oklahoma
(10/4/2024)

Oregon
(1/2/2025)

Pennsylvania
(1/2/2025)

Rhode Island
(1/2/2025)

South Carolina
(10/3/2024)

South Dakota
(1/2/2025)

Tennessee
(1/2/2025)

Texas
(10/3/2024)

Utah
(1/2/2025)

Vermont
(1/2/2025)

Virginia
(1/2/2025)

Washington
(1/2/2025)

West Virginia
(1/2/2025)

Wisconsin
(1/2/2025)

Wyoming
(1/2/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 3/4/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/30/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/2/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/17/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/6/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FORESIDE FUND SERVICES, LLC

FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC

CRD#: 46106 / SEC#: , 8-51293

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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.

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Advisor Monitoring

Firm Stability Insights

Robin W. Tardy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robin Westrom Tardy's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHERN TRUST INVESTMENTS, INCORPORATED

NORTHERN TRUST SECURITIES, INC.

GUGGENHEIM INVESTMENTS

GUGGENHEIM DISTRIBUTORS, LLC

GUGGENHEIM INVESTMENTS

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

FIRST TRUST PORTFOLIOS L.P.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/4/2004

Series 63

Date: 5/30/2000

SIE

Date: 10/1/2018

Series 7

Date: 5/2/2003

Series 6

Date: 4/17/2000

Series 24

Date: 9/6/2005

FINRA

Current Firm

FORESIDE FUND SERVICES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FORESIDE FUND SERVICES, LLC

TRUST BUT VERIFY

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