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CS

Chad E. Spencer

FORESIDE FUND SERVICES
Broomfield, CO 80021
CRD#: 5287212
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CS
Chad Elliot SpencerFORESIDE FUND SERVICES

Professional summary

Chad Elliot Spencer, who also goes by Chad E Spencer, Chad Elliot Spencer, Chad Elliott Spencer, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Broomfield, Colorado.

Chad is registered as a RR (Registered Representative) and started their career in finance in 2008. Chad has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chad E Spencer | Chad Elliot Spencer | Chad Elliott Spencer

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 Chad Elliot Spencer'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

May 28, 2026 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 1200 Entrepreneurial Drive, Broomfield, CO 80021
BD
CRD#: 46106
Broomfield, CO
Past

October 9, 2022 - May 5, 2026

FS INVESTMENT SOLUTIONS, LLC

BD
CRD#: 145244
PHILADELPHIA, PA
Past

December 1, 2020 - October 7, 2022

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

April 22, 2013 - November 16, 2020

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
JERSEY CITY, NJ
Past

August 31, 2010 - April 19, 2013

RUSSELL INVESTMENTS

RIA
CRD#: 105734
SEATTLE, WA
Past

August 31, 2010 - April 19, 2013

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

BD
CRD#: 21771
SEATTLE, WA
Past

October 20, 2008 - June 21, 2010

WADDELL & REED

RIA
CRD#: 866
BELLEVUE, WA
Past

September 25, 2008 - June 21, 2010

WADDELL & REED

BD
CRD#: 866
BELLEVUE, WA

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
(6/3/2026)
RR
Alaska
(5/28/2026)
RR
Arizona
(6/3/2026)
RR
Arkansas
(6/3/2026)
RR
California
(5/28/2026)
RR
Colorado
(6/3/2026)
RR
Connecticut
(6/3/2026)
RR
Delaware
(6/3/2026)
RR
District of Columbia
(6/3/2026)
RR
Florida
(6/3/2026)
RR
Georgia
(6/3/2026)
RR
Hawaii
(6/3/2026)
RR
Idaho
(5/28/2026)
RR
Illinois
(6/3/2026)
RR
Indiana
(6/3/2026)
RR
Iowa
(6/3/2026)
RR
Kansas
(6/3/2026)
RR
Kentucky
(6/3/2026)
RR
Louisiana
(6/3/2026)
RR
Maine
(6/3/2026)
RR
Maryland
(6/3/2026)
RR
Massachusetts
(6/3/2026)
RR
Michigan
(6/3/2026)
RR
Minnesota
(6/3/2026)
RR
Mississippi
(6/3/2026)
RR
Missouri
(6/3/2026)
RR
Montana
(5/28/2026)
RR
Nebraska
(6/3/2026)
RR
Nevada
(5/28/2026)
RR
New Hampshire
(6/3/2026)
RR
New Jersey
(6/3/2026)
RR
New Mexico
(6/3/2026)
RR
New York
(6/3/2026)
RR
North Carolina
(6/3/2026)
RR
North Dakota
(6/3/2026)
RR
Ohio
(6/3/2026)
RR
Oklahoma
(6/3/2026)
RR
Oregon
(5/28/2026)
RR
Pennsylvania
(6/3/2026)
RR
Rhode Island
(6/3/2026)
RR
South Carolina
(6/3/2026)
RR
South Dakota
(6/3/2026)
RR
Texas
(6/3/2026)
RR
Utah
(6/3/2026)
RR
Vermont
(6/3/2026)
RR
Virginia
(6/3/2026)
RR
Washington
(5/28/2026)
RR
West Virginia
(6/3/2026)
RR
Wisconsin
(6/3/2026)
RR
Wyoming
(5/28/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/17/2008
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: 9/24/2008
General Securities Representative 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)
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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

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#: 46106Broomfield, CO 80021

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