JS
Jonathan D. Spiegel
FORESIDE FUND SERVICES
New York, NY 10017
Some features on this profile are disabled
CRD#: 4785023
JS
Professional summary
Jonathan David Spiegel is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in New York, New York.
Jonathan is registered as a RR (Registered Representative) and started their career in finance in 2004. Jonathan has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Jonathan David Spiegel'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®
NoneExperience
Current
February 18, 2026 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 685 Third Avenue 27th Floor, New York, NY 10017BD
CRD#: 46106
New York, NY
Past
October 3, 2016 - January 2, 2026
NYLIFE DISTRIBUTORS LLC
BD
CRD#: 35350
NEW YORK, NY
Past
June 1, 2010 - September 9, 2016
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
May 19, 2009 - July 9, 2010
MORGAN STANLEY DISTRIBUTION, INC.
BD
CRD#: 30344
WEST CONSHOHOCKEN, PA
Past
July 3, 2007 - August 23, 2007
TD AMERITRADE, INC.
RIA
CRD#: 7870
PHILADELPHIA, PA
Past
July 3, 2007 - August 23, 2007
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
PHILADELPHIA, PA
Past
July 3, 2007 - August 23, 2007
TD AMERITRADE, INC.
BD
CRD#: 7870
PHILADELPHIA, PA
Past
May 3, 2006 - June 19, 2007
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
PHILADELPHIA, PA
Past
May 3, 2006 - June 19, 2007
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
PHILADELPHIA, PA
Past
July 20, 2004 - May 1, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
WEST CHESTER, PA
Past
July 8, 2004 - May 1, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 8, 2004 - May 1, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
WEST CHESTER, PA
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
Alabama(2/18/2026)
RR
Alaska(2/18/2026)
RR
Arizona(2/18/2026)
RR
Arkansas(2/18/2026)
RR
California(2/18/2026)
RR
Colorado(2/18/2026)
RR
Connecticut(2/18/2026)
RR
Delaware(2/18/2026)
RR
District of Columbia(2/18/2026)
RR
Florida(2/18/2026)
RR
Georgia(2/18/2026)
RR
Hawaii(2/18/2026)
RR
Idaho(2/18/2026)
RR
Illinois(2/18/2026)
RR
Indiana(2/18/2026)
RR
Iowa(2/18/2026)
RR
Kansas(2/18/2026)
RR
Kentucky(2/18/2026)
RR
Louisiana(2/18/2026)
RR
Maine(2/18/2026)
RR
Maryland(2/18/2026)
RR
Massachusetts(2/18/2026)
RR
Michigan(2/18/2026)
RR
Minnesota(2/18/2026)
RR
Mississippi(2/18/2026)
RR
Missouri(2/18/2026)
RR
Montana(2/18/2026)
RR
Nebraska(2/18/2026)
RR
Nevada(2/18/2026)
RR
New Hampshire(2/18/2026)
RR
New Jersey(2/18/2026)
RR
New Mexico(2/18/2026)
RR
New York(2/18/2026)
RR
North Carolina(2/18/2026)
RR
North Dakota(2/18/2026)
RR
Ohio(2/19/2026)
RR
Oklahoma(2/18/2026)
RR
Oregon(2/18/2026)
RR
Pennsylvania(2/18/2026)
RR
Rhode Island(2/18/2026)
RR
South Carolina(2/18/2026)
RR
South Dakota(2/18/2026)
RR
Tennessee(2/18/2026)
RR
Texas(2/18/2026)
RR
Utah(2/18/2026)
RR
Vermont(2/18/2026)
RR
Virginia(2/18/2026)
RR
Washington(2/18/2026)
RR
West Virginia(2/18/2026)
RR
Wisconsin(2/18/2026)
RR
Wyoming(2/18/2026)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)
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.
