Patrick Dillon

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Diana London

PFS INVESTMENTS INC.

WINDHAM, ME · CRD#

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Contact Information

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Diana London

PFS INVESTMENTS INC.

WINDHAM, ME · CRD#

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Diana London

PFS INVESTMENTS INC.

WINDHAM, ME · CRD#

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Years of Experience

16 years registered in the securities industry

Current & Past Employments

Current

DISTRIBUTION SERVICES, LLCCurrent·CRD# 25938

BD

190 Middle Street Suite 301, Portland, ME 04101

May 5, 2026 - Present

Past

COMMUNITY CAPITAL MANAGEMENT, LLCPast·CRD# 109368

RIA

Glencoe, IL

January 26, 2024 - April 28, 2026

PINE DISTRIBUTORS LLCPast·CRD# 323408

BD

Denver, CO

January 6, 2025 - April 20, 2026

FORESIDE FUND SERVICES, LLCPast·CRD# 46106

BD

Portland, ME

January 30, 2024 - December 31, 2024

ETHICPast·CRD# 282827

RIA

Glencoe, IL

January 3, 2023 - November 8, 2023

ROTHSCHILD WEALTH LLCPast·CRD# 162442

RIA

Chicago, IL

June 4, 2019 - October 12, 2022

HALO SECURITIES, LLCPast·CRD# 279029

BD

Chicago, IL

April 10, 2019 - October 12, 2022

RIVERNORTH CAPITAL MANAGEMENT, LLCPast·CRD# 122020

RIA

Chicago, IL

May 2, 2017 - March 12, 2019

ALPS DISTRIBUTORS, INC.Past·CRD# 16853

BD

Chicago, IL

August 18, 2016 - February 14, 2019

INVESCO DISTRIBUTORS, INC.Past·CRD# 7369

BD

Downers Grove, IL

April 7, 2014 - August 10, 2016

INVESCO ADVISERS, INC.Past·CRD# 105360

RIA

Downers Grove, IL

March 19, 2014 - August 10, 2016

LBMZ SECURITIES, INC.Past·CRD# 7874

BD

Chicago, IL

September 5, 2012 - March 19, 2014

ZACKS INVESTMENT MANAGEMENT, INC.Past·CRD# 110897

RIA

Chicago, IL

July 30, 2012 - March 19, 2014

HORNOR, TOWNSEND & KENT, LLCPast·CRD# 4031

BD

Chicago, IL

December 6, 2010 - August 17, 2011

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Diana London

PFS INVESTMENTS INC.

WINDHAM, ME · CRD#

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Current Firm

DS

DISTRIBUTION SERVICES, LLC

DISTRIBUTION SERVICES, LLC | UMB DISTRIBUTION SERVICES, LLC | SUNSTONE FINANCIAL GROUP, INC. | SUNSTONE DISTRIBUTION SERVICES, LLC

CRD#: 25938 / SEC#: 8-42106

BD

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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

Wisconsin since 09/27/1996

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

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
TAYLOR, GORDON BURDETTE	VP, CHIEF COMPLIANCE OFFICER	2990648

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Diana London

PFS INVESTMENTS INC.

WINDHAM, ME · CRD#

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

Community Capital Management; Investment Related; Fort Lauderdale, FL; Institutional Asset Manager; Client Portfolio Manager; Start 01/2024; 160 hours per month

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Diana London

PFS INVESTMENTS INC.

WINDHAM, ME · CRD#

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(5/5/2026)

RR

Alaska
(5/5/2026)

RR

Arizona
(5/5/2026)

RR

Arkansas
(5/5/2026)

RR

California
(5/5/2026)

RR

Colorado
(5/5/2026)

RR

Connecticut
(5/5/2026)

RR

Delaware
(5/5/2026)

RR

District of Columbia
(5/5/2026)

RR

Florida
(5/5/2026)

RR

Georgia
(5/5/2026)

RR

Hawaii
(5/5/2026)

RR

Idaho
(5/5/2026)

RR

Illinois
(5/5/2026)

RR

Indiana
(5/5/2026)

RR

Iowa
(5/5/2026)

RR

Kansas
(5/5/2026)

RR

Kentucky
(5/5/2026)

RR

Louisiana
(5/5/2026)

RR

Maine
(5/5/2026)

RR

Maryland
(5/5/2026)

RR

Massachusetts
(5/5/2026)

RR

Michigan
(5/5/2026)

RR

Minnesota
(5/5/2026)

RR

Mississippi
(5/5/2026)

RR

Missouri
(5/5/2026)

RR

Montana
(5/5/2026)

RR

Nebraska
(5/5/2026)

RR

Nevada
(5/5/2026)

RR

New Hampshire
(5/5/2026)

RR

New Jersey
(5/5/2026)

RR

New Mexico
(5/5/2026)

RR

New York
(5/5/2026)

RR

North Carolina
(5/5/2026)

RR

North Dakota
(5/5/2026)

RR

Ohio
(5/5/2026)

RR

Oklahoma
(5/5/2026)

RR

Oregon
(5/5/2026)

RR

Pennsylvania
(5/5/2026)

RR

Puerto Rico
(5/5/2026)

RR

Rhode Island
(5/5/2026)

RR

South Carolina
(5/5/2026)

RR

South Dakota
(5/5/2026)

RR

Tennessee
(5/5/2026)

RR

Texas
(5/5/2026)

RR

Utah
(5/5/2026)

RR

Vermont
(5/5/2026)

RR

Virgin Islands
(5/5/2026)

RR

Virginia
(5/5/2026)

RR

Washington
(5/5/2026)

RR

West Virginia
(5/5/2026)

RR

Wisconsin
(5/5/2026)

RR

Wyoming
(5/5/2026)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Dec 2010About the Series 6 exam

FINRA

SRO Registrations

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Diana London

PFS INVESTMENTS INC.

WINDHAM, ME · CRD#

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CRS (Client Relationship Summary) - BD

Click below to view Patrick Dillon's CRS (Customer Relationship Summary).

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Diana London

PFS INVESTMENTS INC.

WINDHAM, ME · CRD#

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Videos & Posts

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Contact Information

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Years of Experience

Current & Past Employments

Current

Past

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Current Firm

Contact Information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

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Other business activities

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State Registrations and Notice Filings

Exams

Series 65 — Uniform Investment Adviser Law Examination

Series 63 — Uniform Securities Agent State Law Examination

SIE — Securities Industry Essentials Examination

Series 7 — General Securities Representative Examination

Series 6 — Investment Company Products/Variable Contracts Representative Examination

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CRS (Client Relationship Summary) - BD

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