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WS

Weston Sommers

FORESIDE FUND SERVICES
Portland, ME 04101
Some features on this profile are disabled
CRD#: 5290145
WS

Professional summary

Weston Sommers, who also goes by Weston No Middle Name Sommers, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine and PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC located in Portland, Maine.

Weston is registered as a RR (Registered Representative) and started their career in finance in 2013. Weston has worked at 22 firms and has passed the SIE, Series 99TO and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Weston No Middle Name Sommers

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 Weston Sommers'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®
None

Experience

Current

January 1, 2013 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 46106
Portland, ME
Current

January 3, 2013 - Present

PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 143809
Portland, ME
Current

January 3, 2013 - Present

IMST DISTRIBUTORS, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 130745
Portland, ME
Current

January 3, 2013 - Present

NORTHERN FUNDS DISTRIBUTORS, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 45943
Portland, ME
Current

January 3, 2013 - Present

FORESIDE DISTRIBUTION SERVICES, L.P.

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 15634
Portland, ME
Current

January 3, 2013 - Present

FUNDS DISTRIBUTOR, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 7174
Portland, ME
Current

February 13, 2014 - Present

FORESIDE GLOBAL SERVICES, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 147382
Portland, ME
Current

February 13, 2014 - Present

STERLING CAPITAL DISTRIBUTORS, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 103934
Portland, ME
Current

February 13, 2014 - Present

MGI FUNDS DISTRIBUTORS, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 35682
Portland, ME
Current

February 13, 2014 - Present

FORESIDE FUNDS DISTRIBUTORS LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 31334
Portland, ME
Current

November 28, 2014 - Present

ORBIS INVESTMENTS (U.S.), LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 172663
Portland, ME
Current

August 1, 2016 - Present

FORESIDE FINANCIAL SERVICES, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 148477
Portland, ME
Current

December 1, 2017 - Present

SMEAD FUNDS DISTRIBUTORS, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 173734
Portland, ME
Current

May 16, 2019 - Present

PARNASSUS FUNDS DISTRIBUTOR, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 15883
Portland, ME
Current

March 31, 2020 - Present

QUASAR DISTRIBUTORS, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 103848
Portland, ME
Current

December 6, 2024 - Present

DISTRIBUTION SERVICES, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 25938
Portland, ME
Past

June 9, 2015 - November 29, 2023

COMPASS DISTRIBUTORS, LLC

BD
CRD#: 172662
Portland, ME
Past

February 13, 2014 - August 3, 2020

FAIRHOLME DISTRIBUTORS, LLC

BD
CRD#: 150987
PORTLAND, ME
Past

January 3, 2013 - May 1, 2020

BD COMPLIANCE SOLUTIONS, LLC

BD
CRD#: 30188
PORTLAND, ME
Past

January 3, 2013 - August 3, 2020

FORESIDE DISTRIBUTION SOLUTIONS, LLC

BD
CRD#: 118787
PORTLAND, ME
Past

January 3, 2013 - August 3, 2020

FORESIDE ASSOCIATES, LLC

BD
CRD#: 13494
PORTLAND, ME
Past

January 3, 2013 - October 11, 2022

FORESIDE INVESTMENT SERVICES, LLC

BD
CRD#: 30016
Portland, ME

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/29/2012
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

DS
DISTRIBUTION SERVICES, LLC
DISTRIBUTION SERVICES, LLC | UMB DISTRIBUTION SERVICES, LLC | SUNSTONE FINANCIAL GROUP, INC. | SUNSTONE DISTRIBUTION SERVICES, LLC

CRD#: 25938 / SEC#: , 8-42106

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
(866) 251-6920
Established
Wisconsin since 09/27/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

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
TAYLOR, GORDON BURDETTEVP, CHIEF COMPLIANCE OFFICER2990648

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

DISTRIBUTION SERVICES, LLC

CRD#: 25938Portland, ME 04101

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