AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
MR

Meredith M. Richardson

FORESIDE FUND SERVICES
Fort Lauderdale, FL 33301
Some features on this profile are disabled
CRD#: 5704156
MR

Professional summary

Meredith Mertens Richardson, CIMA®, who also goes by Meredith Leigh Mertens, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Fort Lauderdale, Florida.

Meredith is registered as a RR (Registered Representative) and started their career in finance in 2009. Meredith has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Meredith Leigh Mertens

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 Meredith Mertens Richardson'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®
CIMA®

Certified Investment Management Analyst

Experience

Current

May 18, 2017 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 350 East Las Olas Boulevard 18th Floor, Fort Lauderdale, FL 33301
BD
CRD#: 46106
Fort Lauderdale, FL
Past

May 18, 2016 - May 3, 2017

PACIFIC CURRENT GROUP

BD
CRD#: 156263
DENVER, CO
Past

December 4, 2013 - January 6, 2016

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
DENVER, CO
Past

January 3, 2012 - October 2, 2013

PACIFIC CURRENT GROUP

BD
CRD#: 156263
DENVER, CO
Past

October 19, 2010 - August 30, 2012

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

September 25, 2009 - August 6, 2010

HARBOR FUNDS DISTRIBUTORS, INC.

BD
CRD#: 113506
CHICAGO, IL

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
Colorado
(5/18/2017)
RR
Illinois
(5/18/2017)
RR
Indiana
(1/5/2021)
RR
Iowa
(5/18/2017)
RR
Kansas
(5/18/2017)
RR
Kentucky
(11/7/2023)
RR
Michigan
(1/5/2021)
RR
Minnesota
(5/18/2017)
RR
Missouri
(5/18/2017)
RR
Nebraska
(5/18/2017)
RR
North Dakota
(11/7/2023)
RR
South Dakota
(5/18/2017)
RR
Wisconsin
(5/18/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 2/11/2010
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: 11/14/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/24/2009
Investment Company Products/Variable Contracts 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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#: 46106Fort Lauderdale, FL 33301

TRUST BUT VERIFY

Monitor Meredith Richardson

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
Charles Andrew Fischer
Charles FischerAdvisorCheck Check Mark
RAYMOND JAMES & ASSOCIATES, INC.
PR
ST. PETERSBURG, FL
JF
John FrickerAdvisorCheck Check Mark
EQUITABLE ADVISORS, LLC
IAR
RR
Ft. Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.