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Michael Anthony Pappas

CFA
FORESIDE FUND SERVICES
Portland, ME
·CRD# 5163527·20 years experience

Professional Summary

Michael Anthony Pappas, CFA, who also goes by Michael Pappas, is a registered financial advisor 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.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Michael Pappas

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Credentials

CFA
Chartered Financial Analyst

Years of Experience

20 years in the financial services industry

Current & Past Employments

FORESIDE FUND SERVICES, LLC·CRD# 46106
BD
190 Middle Street Suite 301, Portland, ME 04101
November 11, 2024 - Present
TORTOISEECOFIN SECURITIES, LLC·CRD# 285411
BD
Overland Park, KS
July 6, 2017 - December 8, 2023
TORTOISEECOFIN INVESTMENTS PARTNERS, LLC·CRD# 285213
RIA
Wayland, MA
November 17, 2016 - December 8, 2023
MONTAGE INVESTMENTS, LLC·CRD# 152607
RIA
Boston, MA
April 15, 2015 - November 17, 2016
MSEC, LLC·CRD# 154327
BD
Overland Park, KS
March 20, 2015 - July 3, 2017
JOHN HANCOCK DISTRIBUTORS LLC·CRD# 5249
BD
Boston, MA
February 8, 2012 - December 31, 2012
MANULIFE INVESTMENT MANAGEMENT (US) LLC·CRD# 106435
RIA
Boston, MA
December 17, 2010 - February 25, 2015
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC·CRD# 28262
BD
Boston, MA
December 17, 2010 - February 25, 2015
EDWARD JONES·CRD# 250
RIA
Methuen, MA
February 18, 2010 - December 14, 2010
EDWARD JONES·CRD# 250
BD
Methuen, MA
January 27, 2010 - December 14, 2010
FORESTERS FINANCIAL SERVICES, INC.·CRD# 305
BD
Agawan, MA
July 21, 2006 - December 5, 2006

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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)

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

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS, LLCSOLE MEMBER—
COWAN, TERESA MARIA KAZMIERSKIPRES/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145
STROUT, ALICIA KIMBERLYCHIEF COMPLIANCE OFFICER/VICE PRESIDENT6320351

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Alabama
(11/11/2024)
RR
Alaska
(11/11/2024)
RR
Arizona
(11/11/2024)
RR
Arkansas
(11/11/2024)
RR
California
(11/11/2024)
RR
Colorado
(11/11/2024)
RR
Connecticut
(11/11/2024)
RR
Delaware
(11/11/2024)
RR
District of Columbia
(11/11/2024)
RR
Florida
(11/11/2024)
RR
Georgia
(11/11/2024)
RR
Hawaii
(1/2/2025)
RR
Idaho
(11/11/2024)
RR
Illinois
(11/11/2024)
RR
Indiana
(11/11/2024)
RR
Iowa
(11/11/2024)
RR
Kansas
(11/11/2024)
RR
Kentucky
(11/11/2024)
RR
Louisiana
(11/11/2024)
RR
Maine
(11/11/2024)
RR
Maryland
(11/11/2024)
RR
Massachusetts
(11/11/2024)
RR
Michigan
(11/11/2024)
RR
Minnesota
(11/11/2024)
RR
Mississippi
(11/11/2024)
RR
Missouri
(11/11/2024)
RR
Montana
(11/12/2024)
RR
Nebraska
(11/11/2024)
RR
Nevada
(11/11/2024)
RR
New Hampshire
(11/11/2024)
RR
New Jersey
(11/11/2024)
RR
New Mexico
(11/11/2024)
RR
New York
(11/11/2024)
RR
North Carolina
(11/11/2024)
RR
North Dakota
(11/11/2024)
RR
Ohio
(11/12/2024)
RR
Oklahoma
(11/11/2024)
RR
Oregon
(11/11/2024)
RR
Pennsylvania
(11/11/2024)
RR
Puerto Rico
(1/2/2025)
RR
Rhode Island
(11/11/2024)
RR
South Carolina
(11/11/2024)
RR
South Dakota
(11/11/2024)
RR
Tennessee
(11/11/2024)
RR
Texas
(11/11/2024)
RR
Utah
(11/11/2024)
RR
Vermont
(11/11/2024)
RR
Virginia
(11/11/2024)
RR
Washington
(11/11/2024)
RR
West Virginia
(11/11/2024)
RR
Wisconsin
(11/11/2024)
RR
Wyoming
(11/11/2024)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Feb 2010About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2006About the Series 63 exam

Series 6TO — Investment Company Products/Variable Contracts Representative Examination

Passed Jan 2023About the Series 6TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jan 2010About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jul 2006About the Series 6 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

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

CRS (Customer Relationship Summary)

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