BF
Brett R. Floyd
FORESIDE FUND SERVICES
Portland, ME 04101
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CRD#: 4825985
BF
Professional summary
Brett Reardon Floyd, who also goes by Brett Floyd, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine.
Brett is registered as a RR (Registered Representative) and started their career in finance in 2004. Brett has worked at 8 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Brett Floyd
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 Brett Reardon Floyd'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
December 5, 2025 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101BD
CRD#: 46106
Portland, ME
Past
April 20, 2020 - November 4, 2025
NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST
RIA
CRD#: 105390
PHILADELPHIA, PA
Past
August 23, 2012 - April 21, 2020
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC
RIA
CRD#: 152237
PHILADELPHIA, PA
Past
February 24, 2011 - November 4, 2025
DELAWARE DISTRIBUTORS, L.P.
BD
CRD#: 14232
PHILADELPHIA, PA
Past
November 20, 2009 - December 20, 2010
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
Past
April 9, 2009 - July 15, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
FORT MYERS, FL
Past
June 27, 2006 - July 6, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
BONITA SPRINGS, FL
Past
June 2, 2006 - July 6, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
BONITA SPRINGS, FL
Past
July 28, 2004 - August 15, 2005
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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(1/2/2026)
RR
Alaska(1/2/2026)
RR
Arizona(1/2/2026)
RR
Arkansas(1/2/2026)
RR
California(1/2/2026)
RR
Colorado(1/2/2026)
RR
Connecticut(1/2/2026)
RR
Delaware(1/2/2026)
RR
District of Columbia(1/2/2026)
RR
Florida(1/2/2026)
RR
Georgia(1/2/2026)
RR
Hawaii(1/2/2026)
RR
Idaho(1/2/2026)
RR
Illinois(1/2/2026)
RR
Indiana(1/2/2026)
RR
Iowa(1/2/2026)
RR
Kansas(1/2/2026)
RR
Kentucky(1/2/2026)
RR
Louisiana(1/2/2026)
RR
Maine(1/2/2026)
RR
Maryland(1/2/2026)
RR
Massachusetts(1/2/2026)
RR
Michigan(1/2/2026)
RR
Minnesota(1/2/2026)
RR
Mississippi(1/2/2026)
RR
Missouri(1/2/2026)
RR
Montana(1/2/2026)
RR
Nebraska(1/2/2026)
RR
Nevada(1/2/2026)
RR
New Hampshire(1/2/2026)
RR
New Jersey(1/2/2026)
RR
New Mexico(1/2/2026)
RR
New York(1/2/2026)
RR
North Carolina(1/2/2026)
RR
North Dakota(1/2/2026)
RR
Ohio(1/2/2026)
RR
Oklahoma(1/2/2026)
RR
Oregon(1/2/2026)
RR
Pennsylvania(1/2/2026)
RR
Rhode Island(1/2/2026)
RR
South Carolina(1/2/2026)
RR
South Dakota(1/2/2026)
RR
Tennessee(1/2/2026)
RR
Texas(12/5/2025)
RR
Utah(1/2/2026)
RR
Vermont(1/2/2026)
RR
Virginia(1/2/2026)
RR
Washington(1/2/2026)
RR
West Virginia(1/2/2026)
RR
Wisconsin(1/2/2026)
RR
Wyoming(1/2/2026)
Exams
State Security Law Exam
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.
Company Information
FORESIDE FUND SERVICES, LLC
CRD#: 46106Portland, ME 04101TRUST BUT VERIFY
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