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AG

Alex Gordon

FORESIDE FUND SERVICES
Portland, ME 04101
Some features on this profile are disabled
CRD#: 5818291
AG
Alex GordonFORESIDE FUND SERVICES

Professional summary

Alex Gordon is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine.

Alex is registered as a RR (Registered Representative) and started their career in finance in 2010. Alex has worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Aliases

None

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 Alex Gordon'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®
None

Experience

Current

August 14, 2026 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 46106
Portland, ME
Past

August 14, 2023 - January 29, 2025

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Lisle, IL
Past

May 1, 2019 - August 14, 2023

ETFMG FINANCIAL LLC

BD
CRD#: 284172
Summit, NJ
Past

January 2, 2019 - January 8, 2019

COMPASS DISTRIBUTORS, LLC

BD
CRD#: 172662
PORTLAND, ME
Past

May 11, 2018 - December 31, 2018

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

March 1, 2017 - May 7, 2018

ETFMG FINANCIAL LLC

BD
CRD#: 284172
Summit, NJ
Past

November 23, 2015 - March 8, 2017

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
Summit, NJ
Past

March 31, 2015 - October 27, 2015

ESPOSITO SECURITIES, LLC

BD
CRD#: 143710
DALLAS, TX
Past

August 22, 2012 - December 31, 2014

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
NEW YORK, NY
Past

October 31, 2011 - July 25, 2012

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
MORRISTOWN, NJ
Past

September 24, 2010 - April 8, 2011

R. SEELAUS & CO., LLC

BD
CRD#: 14974
CHATHAM, NJ

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
(8/14/2026)
RR
Alaska
(8/14/2026)
RR
Arizona
(8/14/2026)
RR
Arkansas
(8/14/2026)
RR
California
(8/14/2026)
RR
Colorado
(8/14/2026)
RR
Connecticut
(8/14/2026)
RR
Delaware
(8/14/2026)
RR
District of Columbia
(8/14/2026)
RR
Florida
(8/14/2026)
RR
Georgia
(8/14/2026)
RR
Hawaii
(8/14/2026)
RR
Idaho
(8/14/2026)
RR
Illinois
(8/14/2026)
RR
Indiana
(8/14/2026)
RR
Iowa
(8/14/2026)
RR
Kansas
(8/14/2026)
RR
Kentucky
(8/14/2026)
RR
Louisiana
(8/14/2026)
RR
Maine
(8/14/2026)
RR
Maryland
(8/14/2026)
RR
Massachusetts
(8/14/2026)
RR
Michigan
(8/14/2026)
RR
Minnesota
(8/14/2026)
RR
Mississippi
(8/14/2026)
RR
Missouri
(8/14/2026)
RR
Montana
(8/14/2026)
RR
Nebraska
(8/14/2026)
RR
Nevada
(8/14/2026)
RR
New Hampshire
(8/14/2026)
RR
New Jersey
(8/14/2026)
RR
New Mexico
(8/14/2026)
RR
New York
(8/14/2026)
RR
North Carolina
(8/14/2026)
RR
North Dakota
(8/14/2026)
RR
Ohio
(8/14/2026)
RR
Oklahoma
(8/14/2026)
RR
Oregon
(8/14/2026)
RR
Pennsylvania
(8/14/2026)
RR
Rhode Island
(8/14/2026)
RR
South Carolina
(8/14/2026)
RR
South Dakota
(8/14/2026)
RR
Tennessee
(8/14/2026)
RR
Texas
(8/14/2026)
RR
Utah
(8/14/2026)
RR
Vermont
(8/14/2026)
RR
Virginia
(8/14/2026)
RR
Washington
(8/14/2026)
RR
West Virginia
(8/14/2026)
RR
Wisconsin
(8/14/2026)
RR
Wyoming
(8/14/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 12/15/2010
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 3
Date: 11/24/2015
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/23/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/28/2016
General Securities Principal 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)
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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)

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#: 46106Portland, ME 04101

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