Kaitlyn Lee Dowling

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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

13 years registered in the securities industry

Current & Past Employments

Current

DISTRIBUTION SERVICES, LLCCurrent·CRD# 25938

BD

190 Middle Street Suite 301, Portland, ME 04101

July 8, 2026 - Present

Past

SHELTON CAPITAL MANAGEMENTPast·CRD# 104720

RIA

Philadelphia, PA

February 18, 2026 - May 1, 2026

RFS PARTNERSPast·CRD# 18119

BD

Denver, CO

February 18, 2026 - May 1, 2026

STRINGER ASSET MANAGEMENT, LLCPast·CRD# 166133

RIA

Philadelphia, PA

June 26, 2024 - March 30, 2026

MATRIX 360 DISTRIBUTORS, LLCPast·CRD# 159715

BD

Fairway, KS

January 25, 2022 - February 5, 2026

STRINGER ASSET MANAGEMENT, LLCPast·CRD# 166133

RIA

Philadelphia, PA

February 6, 2022 - December 31, 2023

NOMURA INVESTMENT MANAGEMENT BUSINESS TRUSTPast·CRD# 105390

RIA

Philadelphia, PA

April 20, 2020 - December 24, 2021

DELAWARE DISTRIBUTORS, L.P.Past·CRD# 14232

BD

Philadelphia, PA

October 12, 2017 - December 24, 2021

DELAWARE CAPITAL MANAGEMENT ADVISERS, INCPast·CRD# 152237

RIA

Philadelphia, PA

October 12, 2017 - April 20, 2020

UBS FINANCIAL SERVICES INC.Past·CRD# 8174

RIA

Philadelphia, PA

June 8, 2017 - October 10, 2017

UBS FINANCIAL SERVICES INC.Past·CRD# 8174

BD

Philadelphia, PA

June 8, 2017 - October 10, 2017

GOLDMAN SACHS WEALTH SERVICES, L.P.Past·CRD# 106693

RIA

Philadelphia, PA

August 18, 2015 - May 17, 2017

MERCER ALLIED COMPANY, L.P.Past·CRD# 37404

BD

Philadelphia, PA

August 18, 2015 - May 17, 2017

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCPast·CRD# 149018

RIA

West Deptford, NJ

January 15, 2014 - August 3, 2015

RAYMOND JAMES FINANCIAL SERVICES, INC.Past·CRD# 6694

BD

West Deptford, NJ

February 28, 2013 - August 3, 2015

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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.

Kaitlyn Dowling is an employee of Shelton Capital Management and affiliated registered investment advisory firm.

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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
(7/8/2026)

RR

Alaska
(7/8/2026)

RR

Arizona
(7/8/2026)

RR

Arkansas
(7/8/2026)

RR

California
(7/8/2026)

RR

Colorado
(7/8/2026)

RR

Connecticut
(7/8/2026)

RR

Delaware
(7/8/2026)

RR

District of Columbia
(7/8/2026)

RR

Florida
(7/8/2026)

RR

Georgia
(7/8/2026)

RR

Hawaii
(7/8/2026)

RR

Idaho
(7/8/2026)

RR

Illinois
(7/8/2026)

RR

Indiana
(7/8/2026)

RR

Iowa
(7/8/2026)

RR

Kansas
(7/8/2026)

RR

Kentucky
(7/8/2026)

RR

Louisiana
(7/8/2026)

RR

Maine
(7/8/2026)

RR

Maryland
(7/8/2026)

RR

Massachusetts
(7/8/2026)

RR

Michigan
(7/8/2026)

RR

Minnesota
(7/8/2026)

RR

Mississippi
(7/8/2026)

RR

Missouri
(7/8/2026)

RR

Montana
(7/8/2026)

RR

Nebraska
(7/8/2026)

RR

Nevada
(7/8/2026)

RR

New Hampshire
(7/8/2026)

RR

New Jersey
(7/8/2026)

RR

New Mexico
(7/8/2026)

RR

New York
(7/8/2026)

RR

North Carolina
(7/8/2026)

RR

North Dakota
(7/8/2026)

RR

Ohio
(7/8/2026)

RR

Oklahoma
(7/8/2026)

RR

Oregon
(7/8/2026)

RR

Pennsylvania
(7/8/2026)

RR

Puerto Rico
(7/8/2026)

RR

Rhode Island
(7/8/2026)

RR

South Carolina
(7/8/2026)

RR

South Dakota
(7/8/2026)

RR

Tennessee
(7/8/2026)

RR

Texas
(7/8/2026)

RR

Utah
(7/8/2026)

RR

Vermont
(7/8/2026)

RR

Virgin Islands
(7/8/2026)

RR

Virginia
(7/8/2026)

RR

Washington
(7/8/2026)

RR

West Virginia
(7/8/2026)

RR

Wisconsin
(7/8/2026)

RR

Wyoming
(7/8/2026)

Exams

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

FINRA

SRO Registrations

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Diana London

PFS INVESTMENTS INC.

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CRS (Client Relationship Summary) - BD

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Diana London

PFS INVESTMENTS INC.

WINDHAM, ME · CRD#

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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 66 — Uniform Combined State Law Examination

SIE — Securities Industry Essentials Examination

Series 7 — General Securities Representative Examination

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CRS (Client Relationship Summary) - BD

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