IA
Ian H. Abernathy
FORESIDE FINANCIAL SERVICES
Clayton, MO 63105
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CRD#: 4261720
IA
Professional summary
Ian Hunter Abernathy is a registered financial professional currently at FORESIDE FINANCIAL SERVICES, LLC located in Clayton, Missouri.
Ian is registered as a RR (Registered Representative) and started their career in finance in 2001. Ian has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 Ian Hunter Abernathy'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
October 29, 2018 - Present
FORESIDE FINANCIAL SERVICES, LLC
Office #1: 190 Carondelet Plaza Suite 600, Clayton, MO 63105BD
CRD#: 148477
Clayton, MO
Past
July 5, 2018 - October 29, 2018
LORING WARD SECURITIES INC.
BD
CRD#: 46337
SAN JOSE, CA
Past
August 15, 2014 - June 6, 2018
ASSETMARK BROKERAGE, LLC
BD
CRD#: 169804
CONCORD, CA
Past
April 1, 2008 - August 15, 2014
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
CONCORD, CA
Past
August 19, 2005 - April 1, 2008
ASSETMARK CAPITAL CORPORATION
BD
CRD#: 37583
PLEASANT HILL, CA
Past
April 5, 2004 - December 31, 2004
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
PORTLAND, ME
Past
July 30, 2001 - June 18, 2002
THOMAS WEISEL PARTNERS LLC
BD
CRD#: 46237
SAN FRANCISCO, CA
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(1/11/2021)
RR
Alaska(1/11/2021)
RR
Arizona(1/11/2021)
RR
Arkansas(1/11/2021)
RR
California(10/29/2018)
RR
Colorado(1/11/2021)
RR
Connecticut(1/11/2021)
RR
Delaware(1/11/2021)
RR
District of Columbia(1/11/2021)
RR
Florida(1/11/2021)
RR
Georgia(1/11/2021)
RR
Hawaii(1/11/2021)
RR
Idaho(1/11/2021)
RR
Illinois(1/11/2021)
RR
Indiana(1/11/2021)
RR
Iowa(1/11/2021)
RR
Kansas(1/11/2021)
RR
Kentucky(1/11/2021)
RR
Louisiana(1/11/2021)
RR
Maine(1/11/2021)
RR
Maryland(1/11/2021)
RR
Massachusetts(1/11/2021)
RR
Michigan(1/11/2021)
RR
Minnesota(1/11/2021)
RR
Mississippi(1/11/2021)
RR
Missouri(1/11/2021)
RR
Montana(1/11/2021)
RR
Nebraska(1/11/2021)
RR
Nevada(1/11/2021)
RR
New Hampshire(1/11/2021)
RR
New Jersey(1/11/2021)
RR
New Mexico(1/11/2021)
RR
New York(1/11/2021)
RR
North Carolina(1/11/2021)
RR
North Dakota(1/11/2021)
RR
Ohio(1/11/2021)
RR
Oklahoma(1/11/2021)
RR
Oregon(1/11/2021)
RR
Pennsylvania(1/11/2021)
RR
Rhode Island(1/11/2021)
RR
South Carolina(1/11/2021)
RR
South Dakota(1/11/2021)
RR
Tennessee(1/11/2021)
RR
Texas(1/11/2021)
RR
Utah(1/11/2021)
RR
Vermont(1/11/2021)
RR
Virginia(1/11/2021)
RR
Washington(1/11/2021)
RR
West Virginia(1/11/2021)
RR
Wisconsin(1/11/2021)
RR
Wyoming(1/11/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FORESIDE FINANCIAL SERVICES, LLC
BHIL DISTRIBUTORS, INC. | FORESIDE FINANCIAL SERVICES, LLC | BHIL DISTRIBUTORS, LLC
CRD#: 148477 / SEC#: , 8-68027
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
(866) 251-6920
Established
Delaware since 07/31/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/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 |
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 FINANCIAL SERVICES, LLC
CRD#: 148477Clayton, MO 63105TRUST BUT VERIFY
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