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ME

Meredith O. Eisen

FORESIDE FUND SERVICES
Westport, CT 06880
Some features on this profile are disabled
CRD#: 4673692
ME

Professional summary

Meredith Ostrie Eisen, who also goes by Meredith Ostrie Eisen, Meredith Eisen, Meredith Frances Ostrie, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Westport, Connecticut.

Meredith is registered as a RR (Registered Representative) and started their career in finance in 2007. Meredith has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Meredith Ostrie Eisen | Meredith Eisen | Meredith Frances Ostrie

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 Meredith Ostrie Eisen's CRS (Customer Relationship Summary).
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

September 10, 2024 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 13 Riverside Avenue, Westport, CT 06880
BD
CRD#: 46106
Westport, CT
Past

February 7, 2024 - June 26, 2024

HIGHTOWER ADVISORS, LLC

RIA
CRD#: 145323
Norwalk, CT
Past

February 7, 2024 - June 26, 2024

HIGHTOWER SECURITIES, LLC

BD
CRD#: 116681
CHICAGO, IL
Past

November 18, 2022 - February 12, 2024

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WESTPORT, CT
Past

May 7, 2021 - February 12, 2024

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WESTPORT, CT
Past

October 24, 2019 - December 14, 2020

DOMINARI SECURITIES LLC

BD
CRD#: 18975
GREENWICH, CT
Past

September 19, 2013 - October 21, 2019

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
NEW YORK, NY
Past

July 25, 2012 - October 16, 2013

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

June 24, 2010 - August 1, 2012

SANFORD C. BERNSTEIN & CO., LLC

BD
CRD#: 104474
NASHVILLE, TN
Past

June 1, 2009 - June 24, 2010

MORGAN STANLEY

BD
CRD#: 149777
NEW YORK, NY
Past

January 28, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

August 23, 2007 - January 10, 2008

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
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
Connecticut
(9/10/2024)
RR
Illinois
(9/10/2024)
RR
Iowa
(9/10/2024)
RR
Kansas
(9/10/2024)
RR
Minnesota
(9/10/2024)
RR
Nebraska
(9/10/2024)
RR
North Dakota
(9/10/2024)
RR
Oklahoma
(9/10/2024)
RR
South Dakota
(9/10/2024)
RR
Wisconsin
(9/10/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/18/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/22/2007
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: 8/21/2007
General Securities Representative Examination
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)

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

Documents

Customer Relationship Summary (CRS / FINRA)

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
STROUT, ALICIA KIMBERLYCHIEF COMPLIANCE OFFICER/VICE PRESIDENT6320351

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 FUND SERVICES, LLC

CRD#: 46106Westport, CT 06880

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