WH
Wade B. Hazelton
FORESIDE FUND SERVICES
New York, NY 10036
Some features on this profile are disabled
CRD#: 5142280
WH
Professional summary
Wade Brian Hazelton, who also goes by Wade Brian Hazelton, Wade Hazelton, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in New York, New York.
Wade is registered as a RR (Registered Representative) and started their career in finance in 2007. Wade has worked at 6 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 79 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Wade Brian Hazelton | Wade Hazelton
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 Wade Brian Hazelton'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
August 6, 2025 - Present
FORESIDE FUND SERVICES, LLC
Office #1: The Grace Building 1114 Avenue Of The Americas 37th Floor, New York, NY 10036BD
CRD#: 46106
New York, NY
Past
November 30, 2022 - November 26, 2024
ASHFORD SECURITIES LLC
BD
CRD#: 305330
DALLAS, TX
Past
August 31, 2020 - October 4, 2022
PJT PARTNERS LP
BD
CRD#: 171058
NEW YORK, NY
Past
January 11, 2018 - August 31, 2020
PARK HILL GROUP LLC
BD
CRD#: 135898
NEW YORK, NY
Past
December 3, 2007 - August 9, 2010
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
RIA
CRD#: 109591
NEW YORK, NY
Past
October 17, 2007 - August 9, 2010
NYLIFE DISTRIBUTORS LLC
BD
CRD#: 35350
NEW YORK, NY
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(8/6/2025)
RR
Alaska(8/6/2025)
RR
Arizona(8/6/2025)
RR
Arkansas(8/6/2025)
RR
California(8/6/2025)
RR
Colorado(8/6/2025)
RR
Connecticut(8/6/2025)
RR
Delaware(8/6/2025)
RR
District of Columbia(8/6/2025)
RR
Florida(8/6/2025)
RR
Georgia(8/6/2025)
RR
Hawaii(8/6/2025)
RR
Idaho(8/6/2025)
RR
Illinois(8/6/2025)
RR
Indiana(8/6/2025)
RR
Iowa(8/6/2025)
RR
Kansas(8/6/2025)
RR
Kentucky(8/6/2025)
RR
Louisiana(8/6/2025)
RR
Maine(8/6/2025)
RR
Maryland(8/6/2025)
RR
Massachusetts(8/6/2025)
RR
Michigan(8/6/2025)
RR
Minnesota(8/6/2025)
RR
Mississippi(8/6/2025)
RR
Missouri(8/6/2025)
RR
Montana(8/12/2025)
RR
Nebraska(8/6/2025)
RR
Nevada(8/6/2025)
RR
New Hampshire(8/6/2025)
RR
New Jersey(8/6/2025)
RR
New Mexico(8/6/2025)
RR
New York(8/6/2025)
RR
North Carolina(8/6/2025)
RR
North Dakota(8/6/2025)
RR
Ohio(8/7/2025)
RR
Oklahoma(8/6/2025)
RR
Oregon(8/6/2025)
RR
Pennsylvania(8/6/2025)
RR
Rhode Island(8/6/2025)
RR
South Carolina(8/6/2025)
RR
South Dakota(8/6/2025)
RR
Tennessee(8/6/2025)
RR
Texas(8/6/2025)
RR
Utah(8/6/2025)
RR
Vermont(8/6/2025)
RR
Virginia(8/6/2025)
RR
Washington(8/6/2025)
RR
West Virginia(8/6/2025)
RR
Wisconsin(8/6/2025)
RR
Wyoming(8/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/27/2023
General Securities Representative ExaminationGeneral Industry/Product 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.
