Phillip J. Joyce

FORESIDE FUND SERVICES

Birmingham, MI 48009

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CRD#: 5194472

Professional summary

Phillip J Joyce JR, who also goes by Phillip J Joyce, Phillip Joseph Joyce, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Birmingham, Michigan.

Phillip is registered as a RR (Registered Representative) and started their career in finance in 2006. Phillip has worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Phillip J Joyce | Phillip Joseph Joyce

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 Phillip J Joyce JR'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®

None

Experience

Current

September 16, 2024 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 390 Park Street Suite 250, Birmingham, MI 48009

CRD#: 46106

Birmingham, MI

Past

January 22, 2019 - December 8, 2020

G.DISTRIBUTORS, LLC

CRD#: 155071

RYE, NY

Past

November 20, 2014 - January 18, 2019

AMERICAN CENTURY INVESTMENT SERVICES INC.

CRD#: 17437

KANSAS CITY, MO

Past

July 24, 2013 - November 4, 2014

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

July 20, 2010 - July 26, 2013

RAFFERTY CAPITAL MARKETS, LLC

CRD#: 23682

GARDEN CITY, NY

Past

June 25, 2009 - July 27, 2010

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

BOSTON, MA

Past

August 30, 2006 - April 24, 2009

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

BOSTON, 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

Connecticut
(9/23/2024)

Maine
(1/6/2025)

Massachusetts
(9/20/2024)

New Hampshire
(9/23/2024)

Rhode Island
(1/8/2025)

Vermont
(1/3/2025)

Exams

State Security Law Exam

Series 63

Date: 9/18/2024

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/20/2014

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/21/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/29/2006

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)

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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)

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.

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Advisor Monitoring

Firm Stability Insights

Phillip J. Joyce

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Phillip J Joyce JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

G.DISTRIBUTORS, LLC

AMERICAN CENTURY INVESTMENT SERVICES INC.

FORESIDE FUND SERVICES, LLC

RAFFERTY CAPITAL MARKETS, LLC

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/18/2024

SIE

Date: 10/1/2018

Series 3

Date: 5/20/2014

Series 7

Date: 2/21/2013

Series 6

Date: 8/29/2006

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

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