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SD

Stephen C. Dopp

FORESIDE FUND SERVICES
Los Angeles, CA 90071
Some features on this profile are disabled
CRD#: 5171323
SD

Professional summary

Stephen Charles Dopp, CIMA®, who also goes by Stephen Dopp, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Los Angeles, California.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2006. Stephen has worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephen Dopp

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 Stephen Charles Dopp'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®
CIMA®

Certified Investment Management Analyst

Experience

Current

May 1, 2026 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 333 S. Grand Avenue 18th Floor, Los Angeles, CA 90071
BD
CRD#: 46106
Los Angeles, CA
Past

July 10, 2015 - November 25, 2025

LORD, ABBETT & CO. LLC

RIA
CRD#: 110391
JERSEY CITY, NJ
Past

July 8, 2015 - November 25, 2025

LORD ABBETT DISTRIBUTOR LLC

BD
CRD#: 530
JERSEY CITY, NJ
Past

October 9, 2014 - June 16, 2015

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

BD
CRD#: 18487
Red Bank, NJ
Past

June 13, 2011 - October 10, 2014

FINANCIAL TELESIS INC

RIA
CRD#: 31012
RED BANK, NJ
Past

June 13, 2011 - October 10, 2014

FINANCIAL TELESIS INC

BD
CRD#: 31012
RED BANK, NJ
Past

January 6, 2011 - April 20, 2011

NEWPORT CAPITAL GROUP, LLC

RIA
CRD#: 144442
RED BANK, NJ
Past

March 24, 2008 - November 15, 2010

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
NEPTUNE, NJ
Past

March 14, 2008 - November 15, 2010

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

August 7, 2006 - February 20, 2008

SECURIAN FINANCIAL SERVICES, INC.

RIA
CRD#: 15296
NEPTUNE, NJ
Past

July 14, 2006 - February 20, 2008

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
NEPTUNE, 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
California
(5/1/2026)
RR
New Jersey
(5/1/2026)
RR
New York
(5/1/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/27/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/13/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/11/2019
General Securities Principal Examination
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
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

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#: 46106Los Angeles, CA 90071

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