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DF

Daniel P. Fellows

FORESIDE FINANCIAL SERVICES
Portland, ME 04101
Some features on this profile are disabled
CRD#: 4607445
DF

Professional summary

Daniel P Fellows, who also goes by Daniel Patrick Fellows, Daniel Fellows, is a registered financial professional currently at FORESIDE FINANCIAL SERVICES, LLC located in Portland, Maine.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2003. Daniel has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel Patrick Fellows | Daniel Fellows

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 Daniel P Fellows'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

February 27, 2025 - Present

FORESIDE FINANCIAL SERVICES, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 148477
Portland, ME
Past

August 20, 2020 - January 24, 2025

EASTERLY SECURITIES LLC

BD
CRD#: 281103
BEVERLY, MA
Past

June 22, 2019 - August 3, 2020

VISION 4 FUND DISTRIBUTORS

BD
CRD#: 298105
SCOTTSDALE, AZ
Past

January 2, 2019 - May 30, 2019

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

January 4, 2016 - December 31, 2018

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

BD
CRD#: 144464
DENVER, CO
Past

August 28, 2015 - December 31, 2015

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

August 15, 2013 - August 20, 2015

IMST DISTRIBUTORS, LLC

BD
CRD#: 130745
CHICAGO, IL
Past

August 21, 2009 - August 14, 2015

OAK RIDGE INVESTMENTS, LLC

RIA
CRD#: 107066
CHICAGO, IL
Past

August 28, 2007 - May 9, 2013

AMUNDI DISTRIBUTOR US, INC.

BD
CRD#: 24497
CHICAGO, IL
Past

August 11, 2005 - June 20, 2007

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
OAKBROOK TERRACE, IL
Past

February 3, 2003 - August 11, 2005

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
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
California
(2/27/2025)
RR
Florida
(2/27/2025)
RR
Illinois
(2/27/2025)
RR
Indiana
(2/27/2025)
RR
Iowa
(3/3/2025)
RR
Kentucky
(2/27/2025)
RR
Massachusetts
(2/27/2025)
RR
Michigan
(2/27/2025)
RR
Missouri
(3/3/2025)
RR
New York
(2/27/2025)
RR
Ohio
(3/3/2025)
RR
Texas
(2/27/2025)
RR
Wisconsin
(3/3/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/20/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/11/2003
Uniform Securities Agent 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: 8/31/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/30/2003
Investment Company Products/Variable Contracts Representative Examination
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)

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

Documents

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS, LLCDIRECTOR OWNER/SOLE MEMBER
BRUNNER, JENNIFER ANNEVICE PRESIDENT/CHIEF COMPLIANCE OFFICER1137783
COWAN, TERESA MARIA KAZMIERSKIPRESIDENT/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145

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#: 148477Portland, ME 04101

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