Keith G. Gaffney

FORESIDE FUND SERVICES

St. Petersburg, FL 33701

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CRD#: 4906649

Professional summary

Keith Gerard Gaffney, who also goes by Keith G Gaffney, Keith Gaffney, Keith Gerard Gaffney, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in St. Petersburg, Florida.

Keith is registered as a RR (Registered Representative) and started their career in finance in 2005. Keith has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Keith G Gaffney | Keith Gaffney | Keith Gerard Gaffney

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 Keith Gerard Gaffney'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 12, 2023 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 200 Central Avenue Suite 1850, St. Petersburg, FL 33701

CRD#: 46106

St. Petersburg, FL

Past

May 3, 2013 - December 5, 2022

LORD ABBETT DISTRIBUTOR LLC

CRD#: 530

JERSEY CITY, NJ

Past

October 6, 2011 - March 26, 2013

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NASHVILLE, TN

Past

August 6, 2010 - March 26, 2013

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

Past

September 4, 2008 - September 4, 2008

DWS DISTRIBUTORS, INC.

CRD#: 37306

NEW YORK, NY

Past

September 4, 2008 - April 9, 2009

DEAM INVESTOR SERVICES, INC.

CRD#: 754

NEW YORK, NY

Past

August 31, 2006 - June 11, 2007

AIG SECURITIES LENDING CORP.

CRD#: 140039

NEW YORK, NY

Past

May 13, 2005 - June 11, 2007

PINEBRIDGE SECURITIES LLC

CRD#: 5967

NEW YORK, NY

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

New Jersey
(4/12/2023)

Exams

State Security Law Exam

Series 63

Date: 6/14/2005

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: 5/12/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/31/2011

General Securities Principal 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

Keith G. Gaffney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Keith Gerard Gaffney's CRS (Customer Relationship Summary).

Certified licenses

Experience

LORD ABBETT DISTRIBUTOR LLC

SANFORD C. BERNSTEIN & CO., LLC

ALLIANCEBERNSTEIN INVESTMENTS, INC.

DWS DISTRIBUTORS, INC.

DEAM INVESTOR SERVICES, INC.

AIG SECURITIES LENDING CORP.

PINEBRIDGE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/14/2005

SIE

Date: 10/1/2018

Series 7

Date: 5/12/2005

Series 24

Date: 8/31/2011

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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