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Mark Dow

FORESIDE FUND SERVICES

Portland, ME 04101

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CRD#: 5694427

Professional summary

Mark Dow, who also goes by Mark Darrell Dow, Mark D Dow, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine and FORESIDE FINANCIAL SERVICES, LLC located in Portland, Maine.

Mark is registered as a RR (Registered Representative) and started their career in finance in 2009. Mark has worked at 22 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Mark Darrell Dow | Mark D Dow

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 Mark Dow'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®

None

Experience

Current

March 17, 2015 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101

BD

CRD#: 46106

Portland, ME

Current

December 15, 2017 - Present

FORESIDE FINANCIAL SERVICES, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101

BD

CRD#: 148477

Portland, ME

Current

January 3, 2019 - Present

FORESIDE FUNDS DISTRIBUTORS LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101

BD

CRD#: 31334

Portland, ME

Current

March 31, 2020 - Present

QUASAR DISTRIBUTORS, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101

BD

CRD#: 103848

Portland, ME

Current

January 12, 2023 - Present

IMST DISTRIBUTORS, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101

BD

CRD#: 130745

Portland, ME

Current

January 11, 2024 - Present

FORESIDE GLOBAL SERVICES, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101

BD

CRD#: 147382

Portland, ME

Current

December 10, 2024 - Present

PARNASSUS FUNDS DISTRIBUTOR, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101

BD

CRD#: 15883

Portland, ME

Current

January 2, 2025 - Present

DISTRIBUTION SERVICES, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101

BD

CRD#: 25938

Portland, ME

Current

June 26, 2025 - Present

NORTHERN FUNDS DISTRIBUTORS, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101

BD

CRD#: 45943

Portland, ME

Current

November 3, 2025 - Present

STERLING CAPITAL DISTRIBUTORS, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101

BD

CRD#: 103934

Portland, ME

Past

June 18, 2018 - October 11, 2023

COMPASS DISTRIBUTORS, LLC

BD

CRD#: 172662

Concord, NH

Past

December 15, 2017 - June 19, 2018

SMEAD FUNDS DISTRIBUTORS, LLC

BD

CRD#: 173734

PORTLAND, ME

Past

December 15, 2017 - June 19, 2018

STERLING CAPITAL DISTRIBUTORS, LLC

BD

CRD#: 103934

PORTLAND, ME

Past

December 15, 2017 - June 19, 2018

FORESIDE DISTRIBUTION SOLUTIONS, LLC

BD

CRD#: 118787

PORTLAND, ME

Past

December 15, 2017 - June 19, 2018

NORTHERN FUNDS DISTRIBUTORS, LLC

BD

CRD#: 45943

PORTLAND, ME

Past

December 15, 2017 - June 19, 2018

BD COMPLIANCE SOLUTIONS, LLC

BD

CRD#: 30188

PORTLAND, ME

Past

December 15, 2017 - June 19, 2018

IMST DISTRIBUTORS, LLC

BD

CRD#: 130745

PORTLAND, ME

Past

December 15, 2017 - June 19, 2018

FUNDS DISTRIBUTOR, LLC

BD

CRD#: 7174

PORTLAND, ME

Past

December 15, 2017 - June 19, 2018

FORESIDE FUNDS DISTRIBUTORS LLC

BD

CRD#: 31334

PORTLAND, ME

Past

December 15, 2017 - June 19, 2018

FORESIDE DISTRIBUTION SERVICES, L.P.

BD

CRD#: 15634

PORTLAND, ME

Past

December 15, 2017 - June 19, 2018

FORESIDE ASSOCIATES, LLC

BD

CRD#: 13494

PORTLAND, ME

Past

December 15, 2017 - June 19, 2018

FAIRHOLME DISTRIBUTORS, LLC

BD

CRD#: 150987

PORTLAND, ME

Past

March 13, 2013 - January 6, 2014

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

MERRIMACK, NH

Past

April 10, 2012 - January 6, 2014

FIDELITY BROKERAGE SERVICES LLC

BD

CRD#: 7784

MERRIMACK, NH

Past

September 21, 2009 - September 1, 2011

IAA FINANCIAL LLC

BD

CRD#: 6578

BOCA RATON, FL

Past

July 20, 2009 - October 2, 2009

GUNNALLEN FINANCIAL, INC

BD

CRD#: 17609

BOCA RATON, FL

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

Maine
(3/18/2015)

RR

Nevada
(1/17/2024)

RR

New Hampshire
(1/10/2020)

RR

North Carolina
(1/17/2024)

Exams

State Security Law Exam

RR

IAR

Series 66

Date: 3/11/2013

Uniform Combined State Law Examination

State Security Law Exam

RR

Series 63

Date: 8/24/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 7/18/2009

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 8/15/2023

General Securities Principal Examination

SRO Registrations

RR

FINRA

Current Firm

SC

STERLING CAPITAL DISTRIBUTORS, LLC

ABN AMRO DISTRIBUTION SERVICES (USA), INC. | STERLING CAPITAL DISTRIBUTORS, LLC | STERLING CAPITAL DISTRIBUTORS, INC. | BB&T AM DISTRIBUTORS, INC. | ASTON FUNDS DISTRIBUTORS, INC.

CRD#: 103934 / SEC#: , 8-52396

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
COWAN, TERESA MARIA KAZMIERSKI	PRESIDENT/MANAGER/DIRECTOR	1544189
EDELMAN, GABRIEL	SECRETARY	6654419
LA FOND, SUSAN LORENE	CHIEF COMPLIANCE OFFICER / VP / 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

STERLING CAPITAL DISTRIBUTORS, LLC

CRD#: 103934Portland, ME 04101

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