AK
Arun C. Keswani
FORESIDE FINANCIAL SERVICES
Stamford, CT 06901
Some features on this profile are disabled
CRD#: 5819600
AK
Professional summary
Arun C Keswani, who also goes by Arun Keswani, is a registered financial professional currently at FORESIDE FINANCIAL SERVICES, LLC located in Stamford, Connecticut.
Arun is registered as a RR (Registered Representative) and started their career in finance in 2010. Arun has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 79 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Arun Keswani
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 Arun C Keswani'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
February 12, 2025 - Present
FORESIDE FINANCIAL SERVICES, LLC
Office #1: 1010 Washington Blvd 6th Floor, Stamford, CT 06901BD
CRD#: 148477
Stamford, CT
Past
July 5, 2018 - August 27, 2024
DFA SECURITIES LLC
BD
CRD#: 10292
AUSTIN, TX
Past
March 15, 2018 - August 27, 2024
DIMENSIONAL FUND ADVISORS LP
RIA
CRD#: 106482
AUSTIN, TX
Past
September 1, 2010 - September 22, 2011
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
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(5/13/2025)
RR
Alaska(5/13/2025)
RR
Arizona(5/13/2025)
RR
Arkansas(5/13/2025)
RR
California(5/13/2025)
RR
Colorado(5/13/2025)
RR
Connecticut(5/13/2025)
RR
Delaware(5/13/2025)
RR
District of Columbia(5/13/2025)
RR
Florida(5/13/2025)
RR
Georgia(5/13/2025)
RR
Hawaii(5/13/2025)
RR
Idaho(5/13/2025)
RR
Illinois(5/13/2025)
RR
Indiana(5/13/2025)
RR
Iowa(5/13/2025)
RR
Kansas(5/13/2025)
RR
Kentucky(5/13/2025)
RR
Louisiana(5/13/2025)
RR
Maine(5/13/2025)
RR
Maryland(5/13/2025)
RR
Massachusetts(5/13/2025)
RR
Michigan(5/13/2025)
RR
Minnesota(5/13/2025)
RR
Mississippi(5/13/2025)
RR
Missouri(5/13/2025)
RR
Montana(5/13/2025)
RR
Nebraska(5/13/2025)
RR
Nevada(5/13/2025)
RR
New Hampshire(5/13/2025)
RR
New Jersey(5/13/2025)
RR
New Mexico(5/13/2025)
RR
New York(5/13/2025)
RR
North Carolina(5/13/2025)
RR
North Dakota(5/13/2025)
RR
Ohio(5/13/2025)
RR
Oklahoma(5/13/2025)
RR
Oregon(5/13/2025)
RR
Pennsylvania(5/13/2025)
RR
Rhode Island(5/13/2025)
RR
South Carolina(5/13/2025)
RR
South Dakota(5/13/2025)
RR
Tennessee(5/13/2025)
RR
Texas(5/13/2025)
RR
Utah(5/13/2025)
RR
Vermont(5/13/2025)
RR
Virginia(5/13/2025)
RR
Washington(5/13/2025)
RR
West Virginia(5/13/2025)
RR
Wisconsin(5/13/2025)
RR
Wyoming(5/13/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FORESIDE FINANCIAL SERVICES, LLC
BHIL DISTRIBUTORS, INC. | FORESIDE FINANCIAL SERVICES, LLC | BHIL DISTRIBUTORS, LLC
CRD#: 148477 / SEC#: , 8-68027
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 07/31/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# 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 | VICE PRESIDENT/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.
