JC
Jerome M. Cain
FORESIDE FUND SERVICES
New York, NY 10017
Some features on this profile are disabled
CRD#: 5613411
JC
Professional summary
Jerome Michael Cain, who also goes by Jerry Cain, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in New York, New York.
Jerome is registered as a RR (Registered Representative) and started their career in finance in 2009. Jerome has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jerry Cain
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 Jerome Michael Cain'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
August 21, 2020 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 489 Fifth Ave 17th Floor, New York, NY, 10017BD
CRD#: 46106
New York, NY
Past
July 11, 2018 - June 29, 2020
JONES LANG LASALLE SECURITIES, LLC
BD
CRD#: 120738
NEW YORK, NY
Past
May 29, 2014 - June 14, 2018
LAZARD FRERES & CO. LLC
BD
CRD#: 2528
NEW YORK, NY
Past
June 3, 2011 - May 30, 2014
HMC INVESTMENTS, LLC
BD
CRD#: 40581
NEW YORK, NY
Past
August 10, 2010 - May 31, 2011
EQUUS FINANCIAL CONSULTING LLC
BD
CRD#: 131449
NEW CANAAN, CT
Past
October 28, 2009 - November 20, 2009
SOUTHRIDGE WEALTH MANAGEMENT LLC
RIA
CRD#: 136707
NEW YORK, NY
Past
May 21, 2009 - July 29, 2010
SOUTHRIDGE INVESTMENT GROUP LLC
BD
CRD#: 45531
NEW CANAAN, CT
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(8/21/2020)
RR
Alaska(8/21/2020)
RR
Arizona(8/21/2020)
RR
Arkansas(8/21/2020)
RR
California(8/21/2020)
RR
Colorado(8/21/2020)
RR
Connecticut(8/21/2020)
RR
Delaware(8/21/2020)
RR
District of Columbia(8/21/2020)
RR
Florida(8/21/2020)
RR
Georgia(8/21/2020)
RR
Hawaii(8/21/2020)
RR
Idaho(8/21/2020)
RR
Illinois(8/21/2020)
RR
Indiana(8/21/2020)
RR
Iowa(8/21/2020)
RR
Kansas(8/21/2020)
RR
Kentucky(8/21/2020)
RR
Louisiana(8/21/2020)
RR
Maine(8/21/2020)
RR
Maryland(8/21/2020)
RR
Massachusetts(8/21/2020)
RR
Michigan(8/21/2020)
RR
Minnesota(8/21/2020)
RR
Mississippi(8/21/2020)
RR
Missouri(8/21/2020)
RR
Montana(8/21/2020)
RR
Nebraska(8/21/2020)
RR
Nevada(8/21/2020)
RR
New Hampshire(8/21/2020)
RR
New Jersey(8/21/2020)
RR
New Mexico(8/21/2020)
RR
New York(8/21/2020)
RR
North Carolina(8/21/2020)
RR
North Dakota(8/21/2020)
RR
Ohio(8/21/2020)
RR
Oklahoma(8/21/2020)
RR
Oregon(8/21/2020)
RR
Pennsylvania(8/21/2020)
RR
Rhode Island(8/21/2020)
RR
South Carolina(8/21/2020)
RR
South Dakota(8/21/2020)
RR
Texas(8/21/2020)
RR
Utah(8/21/2020)
RR
Vermont(8/21/2020)
RR
Virginia(8/21/2020)
RR
Washington(8/21/2020)
RR
West Virginia(8/21/2020)
RR
Wisconsin(8/21/2020)
RR
Wyoming(8/21/2020)
Exams
State Security Law Exam
General 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.
