SC
Steven T. Cassens
FORESIDE FUNDS DISTRIBUTORS LLC
Boca Raton, FL 33431
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CRD#: 5306651
SC
Professional summary
Steven Thomas Cassens, who also goes by Steve Cassens, Steven Cassens, is a registered financial professional currently at FORESIDE FUNDS DISTRIBUTORS LLC located in Boca Raton, Florida.
Steven is registered as a RR (Registered Representative) and started their career in finance in 2007. Steven has worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Steve Cassens | Steven Cassens
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 Steven Thomas Cassens'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
June 17, 2022 - Present
FORESIDE FUNDS DISTRIBUTORS LLC
Office #1: 1825 Nw Corporate Boulevard Suite 300, Boca Raton, FL 33431BD
CRD#: 31334
Boca Raton, FL
Past
November 17, 2021 - June 3, 2022
INSPEREX LLC
BD
CRD#: 101420
Delray Beach, FL
Past
August 1, 2019 - June 22, 2021
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
New York, NY
Past
April 3, 2019 - August 1, 2019
BD COMPLIANCE SOLUTIONS, LLC
BD
CRD#: 30188
NEW YORK, NY
Past
October 20, 2016 - March 7, 2019
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
NEW YORK, NY
Past
October 13, 2014 - May 18, 2016
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
PORTLAND, ME
Past
April 25, 2014 - August 20, 2014
FISHER INVESTMENTS
RIA
CRD#: 107342
SAN MATEO, CA
Past
November 22, 2011 - November 12, 2013
NOMURA SECURITIES INTERNATIONAL, INC.
BD
CRD#: 4297
NEW YORK, NY
Past
February 14, 2011 - November 29, 2011
PIMCO INVESTMENTS LLC
BD
CRD#: 154957
NEW YORK, NY
Past
May 21, 2007 - August 17, 2007
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC
RIA
CRD#: 108057
STAMFORD, NY
Past
April 20, 2007 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
BD
CRD#: 25567
NEW YORK, NY
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(6/17/2022)
RR
Alaska(6/17/2022)
RR
Arizona(6/17/2022)
RR
Arkansas(6/17/2022)
RR
California(6/17/2022)
RR
Colorado(6/17/2022)
RR
Connecticut(6/17/2022)
RR
Delaware(6/17/2022)
RR
District of Columbia(6/17/2022)
RR
Florida(6/17/2022)
RR
Georgia(6/17/2022)
RR
Hawaii(6/17/2022)
RR
Idaho(6/17/2022)
RR
Illinois(6/17/2022)
RR
Indiana(6/17/2022)
RR
Iowa(6/17/2022)
RR
Kansas(6/17/2022)
RR
Kentucky(6/17/2022)
RR
Louisiana(6/17/2022)
RR
Maine(6/17/2022)
RR
Maryland(6/17/2022)
RR
Massachusetts(6/17/2022)
RR
Michigan(6/17/2022)
RR
Minnesota(6/17/2022)
RR
Mississippi(6/17/2022)
RR
Missouri(6/17/2022)
RR
Montana(6/17/2022)
RR
Nebraska(6/17/2022)
RR
Nevada(6/17/2022)
RR
New Hampshire(6/17/2022)
RR
New Jersey(6/17/2022)
RR
New Mexico(6/17/2022)
RR
New York(6/17/2022)
RR
North Carolina(6/17/2022)
RR
North Dakota(6/17/2022)
RR
Ohio(6/21/2022)
RR
Oklahoma(6/17/2022)
RR
Oregon(6/17/2022)
RR
Pennsylvania(6/17/2022)
RR
Puerto Rico(6/17/2022)
RR
Rhode Island(6/17/2022)
RR
South Carolina(6/17/2022)
RR
South Dakota(6/17/2022)
RR
Texas(6/17/2022)
RR
Utah(6/17/2022)
RR
Vermont(6/17/2022)
RR
Virgin Islands(6/17/2022)
RR
Virginia(6/17/2022)
RR
Washington(6/17/2022)
RR
West Virginia(6/17/2022)
RR
Wisconsin(6/17/2022)
RR
Wyoming(6/17/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FORESIDE FUNDS DISTRIBUTORS LLC
440 FINANCIAL DISTRIBUTORS, INC. | PFPC DISTRIBUTORS, INC. | FORESIDE FUNDS DISTRIBUTORS LLC | FIRST DATA DISTRIBUTORS, INC. | BNY MELLON DISTRIBUTORS LLC | BNY MELLON DISTRIBUTORS INC.
CRD#: 31334 / SEC#: , 8-45467
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
Delaware since 01/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VP/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/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 |
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 FUNDS DISTRIBUTORS LLC
CRD#: 31334Boca Raton, FL 33431TRUST BUT VERIFY
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