SM
Stephen A. Mickle
FORESIDE FUND SERVICES
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 5476931
SM
Professional summary
Stephen Andrew Mickle, who also goes by Steve Mickle, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Chicago, Illinois.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2009. Stephen has worked at 6 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Steve Mickle
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 Stephen Andrew Mickle'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
November 24, 2021 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 222 W. Adams Street Suite 2050, Chicago, IL 60606BD
CRD#: 46106
Chicago, IL
Past
December 6, 2018 - January 13, 2021
BLACKSTONE SECURITIES PARTNERS L.P.
BD
CRD#: 17917
NEW YORK, NY
Past
May 20, 2013 - November 29, 2018
WALLACHBETH CAPITAL LLC
BD
CRD#: 147853
BOCA RATON, FL
Past
January 3, 2012 - March 19, 2013
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
SAN FRANCISCO, CA
Past
June 10, 2009 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
BD
CRD#: 146183
SAN FRANCISCO, CA
Past
March 30, 2009 - May 26, 2009
MERRIMAN CAPITAL, INC.
BD
CRD#: 18296
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(1/3/2022)
RR
Alaska(1/6/2022)
RR
Arizona(1/10/2022)
RR
Arkansas(1/3/2022)
RR
California(11/24/2021)
RR
Colorado(1/3/2022)
RR
Connecticut(1/3/2022)
RR
Delaware(1/4/2022)
RR
District of Columbia(1/11/2022)
RR
Florida(1/4/2022)
RR
Georgia(1/4/2022)
RR
Hawaii(1/4/2022)
RR
Idaho(1/5/2022)
RR
Illinois(1/4/2022)
RR
Indiana(1/3/2022)
RR
Iowa(1/5/2022)
RR
Kansas(1/3/2022)
RR
Kentucky(1/3/2022)
RR
Louisiana(1/7/2022)
RR
Maine(1/3/2022)
RR
Maryland(1/3/2022)
RR
Massachusetts(1/4/2022)
RR
Michigan(1/5/2022)
RR
Minnesota(1/3/2022)
RR
Mississippi(1/4/2022)
RR
Missouri(1/3/2022)
RR
Montana(1/3/2022)
RR
Nebraska(1/7/2022)
RR
Nevada(1/19/2022)
RR
New Hampshire(1/5/2022)
RR
New Jersey(1/3/2022)
RR
New Mexico(1/3/2022)
RR
New York(1/3/2022)
RR
North Carolina(1/4/2022)
RR
North Dakota(1/10/2022)
RR
Ohio(1/3/2022)
RR
Oklahoma(1/11/2022)
RR
Oregon(1/6/2022)
RR
Pennsylvania(1/4/2022)
RR
Puerto Rico(1/15/2024)
RR
Rhode Island(1/7/2022)
RR
South Carolina(1/4/2022)
RR
South Dakota(1/14/2022)
RR
Tennessee(1/4/2022)
RR
Texas(1/3/2022)
RR
Utah(1/4/2022)
RR
Vermont(1/3/2022)
RR
Virginia(1/3/2022)
RR
Washington(1/3/2022)
RR
West Virginia(1/3/2022)
RR
Wisconsin(1/3/2022)
RR
Wyoming(1/3/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 3/26/2024
Investment Banking Registered Representative ExaminationGeneral 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.
