BF
Brendan B. Finn
FORESIDE FINANCIAL SERVICES
Andover, MA 01810
Some features on this profile are disabled
CRD#: 4440020
BF
Professional summary
Brendan Bannon Finn is a registered financial professional currently at FORESIDE FINANCIAL SERVICES, LLC located in Andover, Massachusetts.
Brendan is registered as a RR (Registered Representative) and started their career in finance in 2001. Brendan has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 30 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 Brendan Bannon Finn'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
January 27, 2023 - Present
FORESIDE FINANCIAL SERVICES, LLC
Office #1: 300 Brickstone Square 10th Floor, Andover, MA 01810Office #2: 489 Fifth Avenue 21st Floor, New York, NY 10017BD
CRD#: 148477
Andover, MA
Past
June 22, 2011 - December 31, 2022
ALPHAMAX DISTRIBUTORS, L.L.C.
BD
CRD#: 8258
LA JOLLA, CA
Past
May 10, 2007 - November 12, 2010
BNY MELLON SECURITIES CORPORATION
RIA
CRD#: 231
NEW YORK, NY
Past
August 8, 2006 - November 12, 2010
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
Past
December 1, 2005 - May 31, 2006
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
WOODBRIDGE, NJ
Past
December 1, 2005 - May 31, 2006
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
WOODBRIDGE, NJ
Past
March 16, 2005 - December 31, 2005
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
Past
August 17, 2001 - April 7, 2005
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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(1/27/2023)
RR
Alaska(1/27/2023)
RR
Arizona(1/27/2023)
RR
Arkansas(1/27/2023)
RR
California(1/27/2023)
RR
Colorado(1/27/2023)
RR
Connecticut(1/27/2023)
RR
Delaware(1/27/2023)
RR
District of Columbia(1/27/2023)
RR
Florida(1/27/2023)
RR
Georgia(1/27/2023)
RR
Hawaii(1/27/2023)
RR
Idaho(1/27/2023)
RR
Illinois(1/27/2023)
RR
Indiana(1/27/2023)
RR
Iowa(1/27/2023)
RR
Kansas(1/27/2023)
RR
Kentucky(1/27/2023)
RR
Louisiana(1/27/2023)
RR
Maine(1/27/2023)
RR
Maryland(1/27/2023)
RR
Massachusetts(1/27/2023)
RR
Michigan(1/27/2023)
RR
Minnesota(1/27/2023)
RR
Mississippi(1/27/2023)
RR
Missouri(1/27/2023)
RR
Montana(1/27/2023)
RR
Nebraska(1/27/2023)
RR
Nevada(1/27/2023)
RR
New Hampshire(1/27/2023)
RR
New Jersey(1/27/2023)
RR
New Mexico(1/27/2023)
RR
New York(1/27/2023)
RR
North Carolina(1/27/2023)
RR
North Dakota(1/27/2023)
RR
Ohio(1/27/2023)
RR
Oklahoma(1/27/2023)
RR
Oregon(1/27/2023)
RR
Pennsylvania(1/27/2023)
RR
Puerto Rico(1/2/2024)
RR
Rhode Island(1/27/2023)
RR
South Carolina(1/27/2023)
RR
South Dakota(1/27/2023)
RR
Tennessee(1/27/2023)
RR
Texas(1/27/2023)
RR
Utah(1/27/2023)
RR
Vermont(1/27/2023)
RR
Virgin Islands(1/2/2024)
RR
Virginia(1/27/2023)
RR
Washington(1/27/2023)
RR
West Virginia(1/27/2023)
RR
Wisconsin(1/27/2023)
RR
Wyoming(1/27/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
