Aaron E. Alley

FORESIDE FUND SERVICES

Los Angeles, CA 90071

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CRD#: 4764142

Professional summary

Aaron Edward Alley, CFP®, who also goes by Aaron Alley, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Los Angeles, California.

Aaron is registered as a RR (Registered Representative) and started their career in finance in 2004. Aaron has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Aaron Alley

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.

(1) Columbia University; Not investment related; 630 W 168th St, NY, NY 10032; Higher education; Lecturer; Started 07/2021; Approx 15hrs/mo, during summer months; Not during trading hours; Record lectures for asynchronous program in the Masters in Professional Studies in Wealth Management graduate program offered at Columbia University as well as joining bi-weekly staff meetings.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Aaron Edward Alley'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®

CFP^®

Certified Financial Planner

Experience

Current

June 11, 2024 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 333 S. Grand Avenue 18th Floor, Los Angeles, CA 90071

CRD#: 46106

Los Angeles, CA

Past

December 13, 2022 - May 1, 2024

DIMENSIONAL FUND ADVISORS LP

RIA

CRD#: 106482

AUSTIN, TX

Past

December 13, 2022 - May 1, 2024

RIA

CRD#: 7059

LOS ANGELES, CA

Past

March 3, 2004 - September 27, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

LOS ANGELES, CA

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

Arizona
(6/11/2024)

Arkansas
(6/11/2024)

Colorado
(6/11/2024)

Louisiana
(6/11/2024)

New Mexico
(6/11/2024)

General Securities 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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Advisor Monitoring

Firm Stability Insights

Aaron E. Alley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Aaron Edward Alley's CRS (Customer Relationship Summary).

Certified licenses

Experience

DIMENSIONAL FUND ADVISORS LP

DFA SECURITIES LLC

ALTRUIST FINANCIAL LLC

DIMENSIONAL FUND ADVISORS LP

DFA SECURITIES LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/30/2004

Series 63

Date: 3/2/2004

SIE

Date: 10/1/2018

Series 31

Date: 8/21/2009

Series 7

Date: 2/25/2004

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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