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PN

Paul W. Nardozzi

FORESIDE FUND SERVICES
Portland, ME 04101
Some features on this profile are disabled
CRD#: 4169411
PN

Professional summary

Paul William Nardozzi, who also goes by Paul Nardozzi, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine.

Paul is registered as a RR (Registered Representative) and started their career in finance in 2000. Paul has worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Paul Nardozzi

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 Paul William Nardozzi'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

February 2, 2024 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 46106
Portland, ME
Past

November 1, 2016 - January 26, 2024

FIRST TRUST ADVISORS LP

RIA
CRD#: 107027
EAST GREENWICH, RI
Past

November 1, 2016 - January 26, 2024

FIRST TRUST PORTFOLIOS L.P.

BD
CRD#: 28519
WHEATON, IL
Past

August 28, 2015 - October 31, 2016

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

August 20, 2015 - March 21, 2017

JANUS HENDERSON INVESTORS

RIA
CRD#: 107300
EAST GREENWICH, RI
Past

April 20, 2006 - August 17, 2015

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

RIA
CRD#: 138756
BOSTON, MA
Past

April 26, 2005 - April 20, 2006

AMUNDI ASSET MANAGEMENT US, INC.

RIA
CRD#: 107719
BOSTON, MA
Past

April 26, 2005 - August 17, 2015

AMUNDI DISTRIBUTOR US, INC.

BD
CRD#: 24497
BOSTON, MA
Past

September 11, 2003 - April 27, 2005

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA
CRD#: 105790
BOSTON, MA
Past

April 22, 2003 - April 27, 2005

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA
CRD#: 106435
BOSTON, MA
Past

January 25, 2002 - December 11, 2002

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA
CRD#: 106435
PITTSBURGH, PA
Past

January 25, 2002 - May 30, 2003

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA
CRD#: 105790
PITTSBURGH, PA
Past

August 30, 2000 - April 27, 2005

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

April 27, 2000 - July 25, 2000

KIMBALL & CROSS INVESTMENT MANAGEMENT CORP.

BD
CRD#: 2438
BOSTON, MA

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
Connecticut
(2/2/2024)
RR
Delaware
(3/12/2024)
RR
District of Columbia
(2/27/2024)
RR
Illinois
(9/25/2024)
RR
Indiana
(3/30/2025)
RR
Maine
(2/28/2024)
RR
Maryland
(2/10/2025)
RR
Massachusetts
(8/7/2024)
RR
Michigan
(8/13/2025)
RR
Missouri
(8/14/2025)
RR
New Hampshire
(3/12/2024)
RR
New Jersey
(2/8/2024)
RR
New York
(3/7/2024)
RR
Ohio
(2/29/2024)
RR
Pennsylvania
(2/26/2024)
RR
Rhode Island
(2/21/2024)
RR
Vermont
(2/22/2024)
RR
Virginia
(3/11/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/7/2002
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/5/2000
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: 4/26/2000
General Securities 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#: 46106Portland, ME 04101

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