AT
Amy L. Tran-balbin
FORESIDE FUND SERVICES
Miami, FL 33131
Some features on this profile are disabled
CRD#: 5076401
AT
Professional summary
Amy L Tran-balbin, who also goes by Amy Linda Tran, Amy Linda Tran-balbin, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Miami, Florida.
Amy is registered as a RR (Registered Representative) and started their career in finance in 2006. Amy has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Amy Linda Tran | Amy Linda Tran-Balbin
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 Amy L Tran-balbin'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
March 30, 2026 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 600 Brickell Avenue, Ph, Miami, FL 33131BD
CRD#: 46106
Miami, FL
Past
October 16, 2024 - June 24, 2025
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
NEW YORK, NY
Past
February 13, 2017 - December 31, 2023
BLUE OWL SECURITIES
BD
CRD#: 283250
Short Hills, NJ
Past
November 24, 2008 - February 22, 2017
CAREY FINANCIAL, LLC
BD
CRD#: 15246
NEW YORK, NY
Past
July 7, 2006 - July 8, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
SADDLE BROOK, NJ
Past
July 7, 2006 - July 8, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
SADDLE BROOK, 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(3/30/2026)
RR
Alaska(3/30/2026)
RR
Arizona(3/30/2026)
RR
Arkansas(3/30/2026)
RR
California(3/30/2026)
RR
Colorado(3/30/2026)
RR
Connecticut(3/30/2026)
RR
Delaware(3/30/2026)
RR
District of Columbia(3/30/2026)
RR
Florida(3/30/2026)
RR
Georgia(3/30/2026)
RR
Hawaii(3/30/2026)
RR
Idaho(3/30/2026)
RR
Illinois(3/30/2026)
RR
Indiana(3/30/2026)
RR
Iowa(3/30/2026)
RR
Kansas(3/30/2026)
RR
Kentucky(3/30/2026)
RR
Louisiana(3/30/2026)
RR
Maine(3/30/2026)
RR
Maryland(3/30/2026)
RR
Massachusetts(3/30/2026)
RR
Michigan(3/30/2026)
RR
Minnesota(3/30/2026)
RR
Mississippi(3/30/2026)
RR
Missouri(3/30/2026)
RR
Montana(3/30/2026)
RR
Nebraska(3/30/2026)
RR
Nevada(3/30/2026)
RR
New Hampshire(3/30/2026)
RR
New Jersey(3/30/2026)
RR
New Mexico(3/30/2026)
RR
New York(3/30/2026)
RR
North Carolina(3/30/2026)
RR
North Dakota(3/30/2026)
RR
Ohio(3/30/2026)
RR
Oklahoma(3/30/2026)
RR
Oregon(3/30/2026)
RR
Pennsylvania(3/30/2026)
RR
Rhode Island(3/30/2026)
RR
South Carolina(3/30/2026)
RR
South Dakota(3/30/2026)
RR
Tennessee(3/30/2026)
RR
Texas(3/30/2026)
RR
Utah(3/30/2026)
RR
Vermont(3/30/2026)
RR
Virginia(3/30/2026)
RR
Washington(3/30/2026)
RR
West Virginia(3/30/2026)
RR
Wisconsin(3/30/2026)
RR
Wyoming(3/30/2026)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 46106Miami, FL 33131TRUST BUT VERIFY
Monitor Amy Tran-balbin
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
