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AP

Ashwin T. Paranandi

DISTRIBUTION SERVICES
Portland, ME 04101
Some features on this profile are disabled
CRD#: 4268541
AP

Professional summary

Ashwin Tarak Paranandi, who also goes by Ashwin Tarak Paranandi, Ashwin Paranandi, is a registered financial professional currently at DISTRIBUTION SERVICES, LLC located in Portland, Maine.

Ashwin is registered as a RR (Registered Representative) and started their career in finance in 2000. Ashwin has worked at 8 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ashwin Tarak Paranandi | Ashwin Paranandi

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.
1. EMERGE CAPITAL MANAGEMENT INC, INVESTMENT RELATED, 500 PEARL STREET SUITE 740 BUFFALO NY 14202, REGISTERED INVESMENT ADVISOR, DIRECTOR-INVESTMENT MANAGEMENT SERVICES, 01/2023, 80 HRS/MON, 65 HRS/MON DURING TRADING. 2. ALPS DISTRIBUTORS, INC, INVESTMENT RELATED, 1290 BROADWAY SUITE 1000 DENVER CO 80203, BROKER/DEALER, REGISTERED REPRESENTATIVE, 01/2023, 80 HRS/MON, 65 HRS/MON DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ashwin Tarak Paranandi'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®
None

Experience

Current

October 11, 2023 - Present

DISTRIBUTION SERVICES, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 25938
Portland, ME
Past

April 17, 2023 - September 6, 2023

EMERGE CAPITAL MANAGEMENT

RIA
CRD#: 284581
Basking Ridge, NJ
Past

January 24, 2023 - July 14, 2023

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

April 15, 2016 - January 13, 2023

NORTHERN LIGHTS DISTRIBUTORS, LLC

BD
CRD#: 126159
ELKHORN, NE
Past

March 17, 2014 - January 7, 2016

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
NEW CITY, NY
Past

December 9, 2002 - February 19, 2014

FEF DISTRIBUTORS, LLC

BD
CRD#: 46585
NEW YORK, NY
Past

January 28, 2002 - December 9, 2002

NATIXIS SECURITIES AMERICAS LLC

BD
CRD#: 1101
NEW YORK, NY
Past

November 7, 2000 - January 4, 2002

LORD ABBETT DISTRIBUTOR LLC

BD
CRD#: 530
JERSEY CITY, NJ

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
(10/11/2023)
RR
Arkansas
(10/11/2023)
RR
Connecticut
(10/11/2023)
RR
Delaware
(10/11/2023)
RR
District of Columbia
(10/11/2023)
RR
Florida
(10/11/2023)
RR
Georgia
(10/11/2023)
RR
Louisiana
(10/11/2023)
RR
Maine
(10/11/2023)
RR
Maryland
(10/11/2023)
RR
Massachusetts
(10/11/2023)
RR
Mississippi
(10/11/2023)
RR
New Hampshire
(10/11/2023)
RR
New Jersey
(10/11/2023)
RR
New York
(10/11/2023)
RR
North Carolina
(10/11/2023)
RR
Ohio
(10/11/2023)
RR
Oklahoma
(10/11/2023)
RR
Pennsylvania
(10/11/2023)
RR
Rhode Island
(10/11/2023)
RR
South Carolina
(10/11/2023)
RR
Tennessee
(10/11/2023)
RR
Texas
(10/11/2023)
RR
Vermont
(10/11/2023)
RR
Virginia
(10/11/2023)
RR
West Virginia
(10/11/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/13/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 6/26/2001
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: 11/6/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

DS
DISTRIBUTION SERVICES, LLC
DISTRIBUTION SERVICES, LLC | UMB DISTRIBUTION SERVICES, LLC | SUNSTONE FINANCIAL GROUP, INC. | SUNSTONE DISTRIBUTION SERVICES, LLC

CRD#: 25938 / SEC#: , 8-42106

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
Wisconsin since 09/27/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

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
TAYLOR, GORDON BURDETTEVP, CHIEF COMPLIANCE OFFICER2990648

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

DISTRIBUTION SERVICES, LLC

CRD#: 25938Portland, ME 04101

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