Stephen E. Reynolds

FORESIDE FUND SERVICES

Portland, ME 04101

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CRD#: 4843745

Professional summary

Stephen Edward Reynolds is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2004. Stephen has worked at 13 firms and has passed the Series 66, SIE, Series 3, Series 7, Series 6 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Edward Reynolds'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

February 1, 2018 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101

CRD#: 46106

Portland, ME

Past

August 3, 2015 - May 31, 2017

GENEVA CAPITAL MANAGEMENT LLC

RIA

CRD#: 105432

CHICAGO, IL

Past

March 5, 2015 - May 31, 2017

JANUS HENDERSON INVESTORS

RIA

CRD#: 107300

CHICAGO, IL

Past

March 5, 2015 - May 31, 2017

HENDERSON GLOBAL INVESTORS EQUITY PLANNING, INC.

CRD#: 101640

CHICAGO, IL

Past

May 19, 2014 - February 18, 2015

CALAMOS FINANCIAL SERVICES LLC

CRD#: 19850

NAPERVILLE, IL

Past

May 6, 2014 - February 18, 2015

CALAMOS ADVISORS LLC

RIA

CRD#: 105758

NAPERVILLE, IL

Past

January 8, 2014 - April 22, 2014

AVIVA INVESTORS AMERICAS

RIA

CRD#: 163989

CHICAGO, IL

Past

April 30, 2010 - December 31, 2012

ATHENE SECURITIES, LLC

CRD#: 36867

CHICAGO, IL

Past

May 6, 2008 - October 13, 2009

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

April 3, 2008 - May 13, 2008

DEAM INVESTOR SERVICES, INC.

CRD#: 754

CHICAGO, IL

Past

July 19, 2007 - March 11, 2008

ZIEGLER CAPITAL MANAGEMENT, LLC

RIA

CRD#: 135622

CHICAGO, IL

Past

July 19, 2007 - March 11, 2008

B. C. ZIEGLER AND COMPANY

CRD#: 61

CHICAGO, IL

Past

September 29, 2004 - July 17, 2007

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

NEWPORT BEACH, 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

Alabama
(1/3/2019)

Alaska
(1/3/2019)

Arizona
(1/3/2019)

Arkansas
(1/3/2019)

California
(1/3/2019)

Colorado
(1/3/2019)

Connecticut
(1/3/2019)

Delaware
(1/3/2019)

District of Columbia
(1/3/2019)

Florida
(1/3/2019)

Georgia
(1/3/2019)

Hawaii
(1/3/2019)

Idaho
(1/3/2019)

Illinois
(2/1/2018)

Indiana
(1/3/2019)

Iowa
(1/3/2019)

Kansas
(1/3/2019)

Kentucky
(1/3/2019)

Louisiana
(1/3/2019)

Maine
(1/3/2019)

Maryland
(1/3/2019)

Massachusetts
(1/3/2019)

Michigan
(1/3/2019)

Minnesota
(1/3/2019)

Mississippi
(1/3/2019)

Missouri
(1/3/2019)

Montana
(1/3/2019)

Nebraska
(1/3/2019)

Nevada
(1/3/2019)

New Hampshire
(1/3/2019)

New Jersey
(1/3/2019)

New Mexico
(1/3/2019)

New York
(1/3/2019)

North Carolina
(1/3/2019)

North Dakota
(1/3/2019)

Ohio
(1/3/2019)

Oklahoma
(1/3/2019)

Oregon
(1/3/2019)

Pennsylvania
(1/3/2019)

Rhode Island
(1/3/2019)

South Carolina
(1/3/2019)

South Dakota
(1/3/2019)

Tennessee
(1/3/2019)

Texas
(1/3/2019)

Utah
(1/3/2019)

Vermont
(1/3/2019)

Virginia
(1/3/2019)

Washington
(12/7/2018)

West Virginia
(1/3/2019)

Wisconsin
(1/3/2019)

Wyoming
(1/3/2019)

Exams

State Security Law Exam

IAR

Series 66

Date: 2/7/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/1/2006

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/4/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/27/2004

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 30

Date: 4/23/2012

NFA Branch Manager 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

Stephen E. Reynolds

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Edward Reynolds's CRS (Customer Relationship Summary).

Certified licenses

Experience

GENEVA CAPITAL MANAGEMENT LLC

JANUS HENDERSON INVESTORS

HENDERSON GLOBAL INVESTORS EQUITY PLANNING, INC.

CALAMOS FINANCIAL SERVICES LLC

CALAMOS ADVISORS LLC

AVIVA INVESTORS AMERICAS

ATHENE SECURITIES, LLC

DWS DISTRIBUTORS, INC.

DEAM INVESTOR SERVICES, INC.

ZIEGLER CAPITAL MANAGEMENT, LLC

B. C. ZIEGLER AND COMPANY

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/7/2005

SIE

Date: 10/1/2018

Series 3

Date: 5/1/2006

Series 7

Date: 4/4/2005

Series 6

Date: 9/27/2004

Series 30

Date: 4/23/2012

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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