SW
Seth M. Weinstein
FORESIDE FUNDS DISTRIBUTORS LLC
Greenwich, CT 06830
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CRD#: 5645069
SW
Professional summary
Seth Matthew Weinstein, who also goes by Seth Weinstein, is a registered financial professional currently at FORESIDE FUNDS DISTRIBUTORS LLC located in Greenwich, Connecticut.
Seth is registered as a RR (Registered Representative) and started their career in finance in 2009. Seth has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Seth Weinstein
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 Seth Matthew Weinstein'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
April 16, 2021 - Present
FORESIDE FUNDS DISTRIBUTORS LLC
Office #1: 600 Steamboat Road Suite 202, Greenwich, CT 06830BD
CRD#: 31334
Greenwich, CT
Past
April 8, 2009 - February 16, 2011
MAN INVESTMENTS INC.
BD
CRD#: 15770
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(5/20/2021)
RR
Alaska(5/20/2021)
RR
Arizona(5/20/2021)
RR
Arkansas(5/20/2021)
RR
California(5/20/2021)
RR
Colorado(5/20/2021)
RR
Connecticut(5/20/2021)
RR
Delaware(5/20/2021)
RR
District of Columbia(5/20/2021)
RR
Florida(5/20/2021)
RR
Georgia(5/20/2021)
RR
Hawaii(5/20/2021)
RR
Idaho(5/20/2021)
RR
Illinois(5/20/2021)
RR
Indiana(5/20/2021)
RR
Iowa(5/20/2021)
RR
Kansas(5/20/2021)
RR
Kentucky(5/20/2021)
RR
Louisiana(5/20/2021)
RR
Maine(5/20/2021)
RR
Maryland(5/20/2021)
RR
Massachusetts(5/20/2021)
RR
Michigan(5/20/2021)
RR
Minnesota(5/20/2021)
RR
Mississippi(5/20/2021)
RR
Missouri(5/20/2021)
RR
Montana(5/20/2021)
RR
Nebraska(5/20/2021)
RR
Nevada(5/20/2021)
RR
New Hampshire(5/20/2021)
RR
New Jersey(5/20/2021)
RR
New Mexico(5/20/2021)
RR
New York(5/20/2021)
RR
North Carolina(5/20/2021)
RR
North Dakota(5/20/2021)
RR
Ohio(5/20/2021)
RR
Oklahoma(5/20/2021)
RR
Oregon(5/20/2021)
RR
Pennsylvania(5/20/2021)
RR
Rhode Island(5/20/2021)
RR
South Carolina(5/20/2021)
RR
South Dakota(5/20/2021)
RR
Tennessee(5/20/2021)
RR
Texas(5/20/2021)
RR
Utah(5/20/2021)
RR
Vermont(5/20/2021)
RR
Virginia(5/20/2021)
RR
Washington(5/20/2021)
RR
West Virginia(5/20/2021)
RR
Wisconsin(5/20/2021)
RR
Wyoming(5/20/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/16/2021
General Securities Representative ExaminationGeneral 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.
