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WC

William J. Costigan

FORESIDE FUND SERVICES
Portland, ME 04101
Some features on this profile are disabled
CRD#: 5600574
WC

Professional summary

William Joseph Costigan, who also goes by William Joseph Costigan III, William Joseph Costigan, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine.

William is registered as a RR (Registered Representative) and started their career in finance in 2008. William has worked at 7 firms and has passed the Series 66, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

William Joseph Costigan Iii | William Joseph Costigan

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 William Joseph Costigan'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

March 2, 2026 - Present

FORESIDE FUND SERVICES, LLC

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

February 21, 2025 - January 28, 2026

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 137432
Sun Valley, ID
Past

February 22, 2024 - February 27, 2025

GUGGENHEIM INVESTMENTS

RIA
CRD#: 105477
Sun Valley, ID
Past

June 13, 2022 - January 28, 2026

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

BD
CRD#: 39805
CHICAGO, IL
Past

September 3, 2010 - December 1, 2010

RUSSELL INVESTMENTS

RIA
CRD#: 105734
SEATTLE, WA
Past

August 6, 2010 - December 1, 2010

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

BD
CRD#: 21771
SEATTLE, WA
Past

November 12, 2008 - January 13, 2009

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH

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
(3/4/2026)
RR
California
(3/3/2026)
RR
Colorado
(3/3/2026)
RR
Connecticut
(3/4/2026)
RR
Delaware
(3/4/2026)
RR
District of Columbia
(3/6/2026)
RR
Florida
(3/3/2026)
RR
Georgia
(3/3/2026)
RR
Idaho
(3/3/2026)
RR
Illinois
(3/4/2026)
RR
Indiana
(3/6/2026)
RR
Iowa
(3/5/2026)
RR
Kansas
(3/3/2026)
RR
Kentucky
(3/3/2026)
RR
Louisiana
(3/3/2026)
RR
Maine
(3/3/2026)
RR
Maryland
(3/5/2026)
RR
Massachusetts
(3/4/2026)
RR
Michigan
(3/4/2026)
RR
Minnesota
(3/3/2026)
RR
Mississippi
(3/5/2026)
RR
Missouri
(3/2/2026)
RR
Nebraska
(3/3/2026)
RR
Nevada
(3/3/2026)
RR
New Hampshire
(3/4/2026)
RR
New Jersey
(3/4/2026)
RR
New Mexico
(3/4/2026)
RR
North Carolina
(3/5/2026)
RR
Ohio
(3/2/2026)
RR
Oklahoma
(3/3/2026)
RR
Pennsylvania
(3/3/2026)
RR
Rhode Island
(3/4/2026)
RR
South Carolina
(3/4/2026)
RR
South Dakota
(3/3/2026)
RR
Tennessee
(3/3/2026)
RR
Texas
(3/3/2026)
RR
Utah
(3/3/2026)
RR
Vermont
(3/4/2026)
RR
Virginia
(3/3/2026)
RR
Washington
(3/3/2026)
RR
West Virginia
(3/5/2026)
RR
Wisconsin
(3/4/2026)
RR
Wyoming
(3/4/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/13/2022
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 4/29/2022
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/11/2008
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)

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

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#: 46106Portland, ME 04101

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