Forest L. Banks

FORESIDE FUND SERVICES

Charlotte, NC 28203

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CRD#: 4759516

Professional summary

Forest L Banks, who also goes by Forest L. Banks, Forest Banks, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Charlotte, North Carolina.

Forest is registered as a RR (Registered Representative) and started their career in finance in 2004. Forest has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Forest L. Banks | Forest Banks

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 Forest L Banks'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

April 14, 2025 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 1120 South Tryon Street Suite 650, Charlotte, NC 28203

CRD#: 46106

Charlotte, NC

Past

January 13, 2020 - December 17, 2024

MGI FUNDS DISTRIBUTORS, LLC

CRD#: 35682

Charlotte, NC

Past

November 24, 2015 - December 31, 2019

MMC SECURITIES LLC

RIA

CRD#: 103846

CHARLOTTE, NC

Past

November 10, 2015 - December 31, 2019

MMC SECURITIES LLC

CRD#: 103846

CHARLOTTE, NC

Past

March 23, 2004 - September 29, 2005

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

North Carolina
(4/14/2025)

Oklahoma
(9/16/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 11/24/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/26/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/10/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/19/2004

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

FORESIDE FUND SERVICES, LLC

FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC

CRD#: 46106 / SEC#: , 8-51293

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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.

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Firm Stability Insights

Forest L. Banks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Forest L Banks's CRS (Customer Relationship Summary).

Certified licenses

Experience

MGI FUNDS DISTRIBUTORS, LLC

MMC SECURITIES LLC

MMC SECURITIES LLC

DWS DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/24/2015

Series 63

Date: 3/26/2004

SIE

Date: 10/1/2018

Series 7

Date: 11/10/2015

Series 6

Date: 3/19/2004

FINRA

Current Firm

FORESIDE FUND SERVICES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FORESIDE FUND SERVICES, LLC

TRUST BUT VERIFY

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