NB
Nicholas A. Barnett
FORESIDE FUND SERVICES
Charleston, SC 29401
Some features on this profile are disabled
CRD#: 5258906
NB
Professional summary
Nicholas Andrew Barnett, who also goes by Nicholas Barnett, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Charleston, South Carolina.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2007. Nicholas has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nicholas Barnett
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 Nicholas Andrew Barnett'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 12, 2022 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 320 Broad St Suite 250, Charleston, SC 29401BD
CRD#: 46106
Charleston, SC
Past
March 25, 2014 - March 7, 2022
AMERICAN ELM DISTRIBUTION PARTNERS, LLC
BD
CRD#: 153322
PORTSMOUTH, NH
Past
June 3, 2009 - April 19, 2013
ATEL SECURITIES CORPORATION
BD
CRD#: 17229
SAN FRANCISCO, CA
Past
April 11, 2008 - July 8, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
SAN FRANCISCO, CA
Past
May 15, 2007 - July 8, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
SAN FRANCISCO, CA
Past
January 9, 2007 - May 10, 2007
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
WALNUT CREEK, CA
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(8/12/2022)
RR
Alaska(8/12/2022)
RR
Arizona(8/12/2022)
RR
Arkansas(8/12/2022)
RR
California(8/12/2022)
RR
Colorado(8/12/2022)
RR
Connecticut(8/12/2022)
RR
Delaware(8/12/2022)
RR
District of Columbia(8/12/2022)
RR
Florida(8/12/2022)
RR
Georgia(8/12/2022)
RR
Hawaii(8/12/2022)
RR
Idaho(8/12/2022)
RR
Illinois(8/12/2022)
RR
Indiana(8/12/2022)
RR
Iowa(8/12/2022)
RR
Kansas(8/12/2022)
RR
Kentucky(8/12/2022)
RR
Louisiana(8/12/2022)
RR
Maine(8/12/2022)
RR
Maryland(8/12/2022)
RR
Massachusetts(8/12/2022)
RR
Michigan(8/12/2022)
RR
Minnesota(8/12/2022)
RR
Mississippi(8/12/2022)
RR
Missouri(8/12/2022)
RR
Montana(8/12/2022)
RR
Nebraska(8/12/2022)
RR
Nevada(8/12/2022)
RR
New Hampshire(8/12/2022)
RR
New Jersey(8/12/2022)
RR
New Mexico(8/12/2022)
RR
New York(8/12/2022)
RR
North Carolina(8/12/2022)
RR
North Dakota(8/12/2022)
RR
Ohio(8/13/2022)
RR
Oklahoma(8/12/2022)
RR
Oregon(8/12/2022)
RR
Pennsylvania(8/12/2022)
RR
Rhode Island(8/12/2022)
RR
South Carolina(8/12/2022)
RR
South Dakota(8/12/2022)
RR
Tennessee(8/12/2022)
RR
Texas(8/12/2022)
RR
Utah(8/12/2022)
RR
Vermont(8/12/2022)
RR
Virginia(8/12/2022)
RR
Washington(8/12/2022)
RR
West Virginia(8/12/2022)
RR
Wisconsin(8/12/2022)
RR
Wyoming(8/12/2022)
Exams
State Security Law Exam
State Security Law Exam
General 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.
