Adam K. Fackler
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Adam Kenneth Fackler was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2003. Adam had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 87, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2016 - February 2, 2021
FORESIDE FUND SERVICES, LLC
February 19, 2016 - May 6, 2016
THE WILLIAMS CAPITAL GROUP, L.P.
September 10, 2013 - August 4, 2015
MLV & CO. LLC
June 29, 2012 - February 7, 2013
BURNHAM SECURITIES INC.
August 23, 2011 - March 29, 2012
RODMAN & RENSHAW, LLC
March 17, 2006 - June 26, 2012
RMC INVESTMENT ADVISORS
January 26, 2005 - October 31, 2005
LEGG MASON WOOD WALKER, INCORPORATED
June 25, 2003 - January 29, 2004
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
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.
