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LC

Lucas A. Castle

FORESIDE FUND SERVICES
Portland, ME 04101
CRD#: 4223242
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LC
Lucas Adam CastleFORESIDE FUND SERVICES

Professional summary

Lucas Adam Castle, who also goes by Luke Castle, Lucas Castle, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine.

Lucas is registered as a RR (Registered Representative) and started their career in finance in 2000. Lucas has worked at 14 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Luke Castle | Lucas Castle

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 Lucas Adam Castle'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

May 29, 2026 - Present

FORESIDE FUND SERVICES, LLC

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

November 28, 2017 - April 15, 2026

LASALLE INVESTMENT MANAGEMENT DISTRIBUTORS, LLC

BD
CRD#: 157625
CHICAGO, IL
Past

April 11, 2011 - November 20, 2017

FS INVESTMENT SOLUTIONS, LLC

BD
CRD#: 145244
PHILADELPHIA, PA
Past

August 5, 2010 - April 8, 2011

WAVELAND CAPITAL PARTNERS LLC

BD
CRD#: 40054
IRVINE, CA
Past

January 4, 2010 - May 21, 2010

SELECT CAPITAL CORPORATION

BD
CRD#: 145997
PLANO, TX
Past

September 4, 2007 - December 21, 2009

KBS CAPITAL MARKETS GROUP LLC

BD
CRD#: 132299
NEWPORT BEACH, CA
Past

October 3, 2005 - September 4, 2007

CCO CAPITAL, LLC

BD
CRD#: 31147
PHOENIX, AZ
Past

March 8, 2004 - May 11, 2004

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

RIA
CRD#: 39805
LISLE, IL
Past

March 8, 2004 - September 14, 2005

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

BD
CRD#: 39805
CHICAGO, IL
Past

July 26, 2003 - September 14, 2005

GUGGENHEIM INVESTMENTS

RIA
CRD#: 129288
LISLE, IL
Past

November 22, 2002 - March 15, 2004

DWS INVESTMENT MANAGEMENT AMERICAS, INC.

RIA
CRD#: 104518
CHICAGO, IL
Past

September 30, 2002 - March 15, 2004

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL
Past

August 31, 2001 - August 30, 2002

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SAN FRANCISCO, CA
Past

August 30, 2000 - August 27, 2001

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

August 30, 2000 - August 27, 2001

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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
(5/29/2026)
RR
Alaska
(5/29/2026)
RR
Arizona
(5/29/2026)
RR
Arkansas
(5/29/2026)
RR
California
(5/29/2026)
RR
Colorado
(5/29/2026)
RR
Connecticut
(5/29/2026)
RR
Delaware
(5/29/2026)
RR
District of Columbia
(5/29/2026)
RR
Florida
(5/29/2026)
RR
Georgia
(5/29/2026)
RR
Hawaii
(5/29/2026)
RR
Idaho
(5/29/2026)
RR
Illinois
(5/29/2026)
RR
Indiana
(5/29/2026)
RR
Iowa
(5/29/2026)
RR
Kansas
(5/29/2026)
RR
Kentucky
(5/29/2026)
RR
Louisiana
(5/29/2026)
RR
Maine
(5/29/2026)
RR
Maryland
(5/29/2026)
RR
Massachusetts
(5/29/2026)
RR
Michigan
(5/29/2026)
RR
Minnesota
(5/29/2026)
RR
Mississippi
(5/29/2026)
RR
Missouri
(5/29/2026)
RR
Montana
(5/29/2026)
RR
Nebraska
(5/29/2026)
RR
Nevada
(5/29/2026)
RR
New Hampshire
(5/29/2026)
RR
New Jersey
(5/29/2026)
RR
New Mexico
(5/29/2026)
RR
New York
(5/29/2026)
RR
North Carolina
(5/29/2026)
RR
North Dakota
(5/29/2026)
RR
Ohio
(5/30/2026)
RR
Oklahoma
(5/29/2026)
RR
Oregon
(5/29/2026)
RR
Pennsylvania
(5/29/2026)
RR
Rhode Island
(5/29/2026)
RR
South Carolina
(5/29/2026)
RR
South Dakota
(5/29/2026)
RR
Tennessee
(6/2/2026)
RR
Texas
(5/29/2026)
RR
Utah
(5/29/2026)
RR
Vermont
(5/29/2026)
RR
Virginia
(5/29/2026)
RR
Washington
(5/29/2026)
RR
West Virginia
(5/29/2026)
RR
Wisconsin
(5/29/2026)
RR
Wyoming
(5/29/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/12/2000
Uniform Combined 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: 8/29/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/6/2010
General Securities Principal 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)
Loading...

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

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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