GV
Gary D. Vandergriff
FORESIDE FUND SERVICES
Houston, TX 77046
Some features on this profile are disabled
CRD#: 4598940
GV
Professional summary
Gary David Vandergriff, who also goes by G. David Vandergriff, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Houston, Texas.
Gary is registered as a RR (Registered Representative) and started their career in finance in 2001. Gary has worked at 7 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
G. David Vandergriff
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 Gary David Vandergriff'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
April 15, 2024 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 20 Greenway Plaza, Suite 930, Houston, TX 77046BD
CRD#: 46106
Houston, TX
Past
January 3, 2022 - February 7, 2024
FORESIDE FINANCIAL SERVICES, LLC
BD
CRD#: 148477
Chicago, IL
Past
January 15, 2021 - December 31, 2021
CBIS FINANCIAL SERVICES, INC.
BD
CRD#: 20872
CHICAGO, IL
Past
February 16, 2006 - February 21, 2008
NATCITY INVESTMENTS, INC.
RIA
CRD#: 17490
CLEVELAND, OH
Past
February 16, 2006 - February 21, 2008
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CLEVELAND, OH
Past
August 5, 2004 - October 1, 2004
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
NEW YORK, NY
Past
June 7, 2004 - August 9, 2004
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
June 27, 2001 - October 7, 2004
BANC ONE INVESTMENT ADVISORS CORP
RIA
CRD#: 107247
CHICAGO , IL
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(4/15/2024)
RR
Alaska(4/15/2024)
RR
Arizona(4/15/2024)
RR
Arkansas(4/15/2024)
RR
California(4/15/2024)
RR
Colorado(4/15/2024)
RR
Connecticut(4/15/2024)
RR
Delaware(4/15/2024)
RR
District of Columbia(4/15/2024)
RR
Florida(4/15/2024)
RR
Georgia(4/15/2024)
RR
Hawaii(4/15/2024)
RR
Idaho(4/15/2024)
RR
Illinois(4/15/2024)
RR
Indiana(4/15/2024)
RR
Iowa(4/15/2024)
RR
Kansas(4/15/2024)
RR
Kentucky(4/15/2024)
RR
Louisiana(4/15/2024)
RR
Maine(4/15/2024)
RR
Maryland(4/15/2024)
RR
Massachusetts(4/15/2024)
RR
Michigan(4/15/2024)
RR
Minnesota(4/15/2024)
RR
Mississippi(4/15/2024)
RR
Missouri(4/15/2024)
RR
Montana(4/15/2024)
RR
Nebraska(4/15/2024)
RR
Nevada(4/15/2024)
RR
New Hampshire(4/15/2024)
RR
New Jersey(4/15/2024)
RR
New Mexico(4/15/2024)
RR
New York(4/15/2024)
RR
North Carolina(4/15/2024)
RR
North Dakota(4/15/2024)
RR
Ohio(4/15/2024)
RR
Oklahoma(4/15/2024)
RR
Oregon(4/15/2024)
RR
Pennsylvania(4/15/2024)
RR
Puerto Rico(4/15/2024)
RR
Rhode Island(4/15/2024)
RR
South Carolina(4/15/2024)
RR
South Dakota(4/15/2024)
RR
Tennessee(4/15/2024)
RR
Texas(4/15/2024)
RR
Utah(4/15/2024)
RR
Vermont(4/15/2024)
RR
Virginia(4/15/2024)
RR
Washington(4/15/2024)
RR
West Virginia(4/15/2024)
RR
Wisconsin(4/15/2024)
RR
Wyoming(4/15/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/15/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
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)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/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 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
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.
