Michael A. Pappas

FORESIDE FUND SERVICES

Portland, ME 04101

Some features on this profile are disabled

CRD#: 5163527

Professional summary

Michael Anthony Pappas, CFA, who also goes by Michael Pappas, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2006. Michael has worked at 10 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Pappas

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.

TORTOISE INVESTMENT PARTNERS, LLC, 1115 ASH ST., SUITE 250, LEAWOOD, KS 66211; INVESTMENT RELATED; REGIONAL VP; 40 HR/WK DURING SECURIITES HOURS. TORTOISE SECURITIES, 11550 ASH ST., SUITE 300, LEAWOOD, KS 66211; INVESTMENT RELATED; REGIONAL VICE PRESIDENT WHOLESALER; 40 HRS/WK DURING SECURITIES HOURS.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Anthony Pappas'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®

CFA

Chartered Financial Analyst

Experience

Current

November 11, 2024 - Present

FORESIDE FUND SERVICES, LLC

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

CRD#: 46106

Portland, ME

Past

July 6, 2017 - December 8, 2023

TORTOISEECOFIN SECURITIES, LLC

CRD#: 285411

OVERLAND PARK, KS

Past

November 17, 2016 - December 8, 2023

TORTOISEECOFIN INVESTMENTS PARTNERS, LLC

RIA

CRD#: 285213

WAYLAND, MA

Past

April 15, 2015 - November 17, 2016

MONTAGE INVESTMENTS, LLC

RIA

CRD#: 152607

BOSTON, MA

Past

March 20, 2015 - July 3, 2017

MSEC, LLC

CRD#: 154327

OVERLAND PARK, KS

Past

February 8, 2012 - December 31, 2012

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

December 17, 2010 - February 25, 2015

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA

CRD#: 106435

BOSTON, MA

Past

December 17, 2010 - February 25, 2015

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

February 18, 2010 - December 14, 2010

EDWARD JONES

RIA

CRD#: 250

METHUEN, MA

Past

January 27, 2010 - December 14, 2010

EDWARD JONES

CRD#: 250

METHUEN, MA

Past

July 21, 2006 - December 5, 2006

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

AGAWAN, MA

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
(11/11/2024)

Alaska
(11/11/2024)

Arizona
(11/11/2024)

Arkansas
(11/11/2024)

California
(11/11/2024)

Colorado
(11/11/2024)

Connecticut
(11/11/2024)

Delaware
(11/11/2024)

District of Columbia
(11/11/2024)

Florida
(11/11/2024)

Georgia
(11/11/2024)

Hawaii
(1/2/2025)

Idaho
(11/11/2024)

Illinois
(11/11/2024)

Indiana
(11/11/2024)

Iowa
(11/11/2024)

Kansas
(11/11/2024)

Kentucky
(11/11/2024)

Louisiana
(11/11/2024)

Maine
(11/11/2024)

Maryland
(11/11/2024)

Massachusetts
(11/11/2024)

Michigan
(11/11/2024)

Minnesota
(11/11/2024)

Mississippi
(11/11/2024)

Missouri
(11/11/2024)

Montana
(11/12/2024)

Nebraska
(11/11/2024)

Nevada
(11/11/2024)

New Hampshire
(11/11/2024)

New Jersey
(11/11/2024)

New Mexico
(11/11/2024)

New York
(11/11/2024)

North Carolina
(11/11/2024)

North Dakota
(11/11/2024)

Ohio
(11/12/2024)

Oklahoma
(11/11/2024)

Oregon
(11/11/2024)

Pennsylvania
(11/11/2024)

Puerto Rico
(1/2/2025)

Rhode Island
(11/11/2024)

South Carolina
(11/11/2024)

South Dakota
(11/11/2024)

Tennessee
(11/11/2024)

Texas
(11/11/2024)

Utah
(11/11/2024)

Vermont
(11/11/2024)

Virginia
(11/11/2024)

Washington
(11/11/2024)

West Virginia
(11/11/2024)

Wisconsin
(11/11/2024)

Wyoming
(11/11/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 2/5/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/3/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/25/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/20/2006

Investment Company Products/Variable Contracts Representative 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See 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)

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.

Similar Advisors

Diana London

PFS INVESTMENTS INC.

IAR

Windham, ME

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael A. Pappas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Anthony Pappas's CRS (Customer Relationship Summary).

Certified licenses

Experience

TORTOISEECOFIN SECURITIES, LLC

TORTOISEECOFIN INVESTMENTS PARTNERS, LLC

MONTAGE INVESTMENTS, LLC

MSEC, LLC

JOHN HANCOCK DISTRIBUTORS LLC

MANULIFE INVESTMENT MANAGEMENT (US) LLC

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

EDWARD JONES

EDWARD JONES

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/5/2010

Series 63

Date: 8/3/2006

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/25/2010

Series 6

Date: 7/20/2006

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

Similar Advisors