William E. Fagan

FORESIDE FUND SERVICES

San Francisco, CA 94104

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CRD#: 5998174

Professional summary

William Edward Fagan III, who also goes by William Edward Fagan III, William Fagan, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in San Francisco, California.

William is registered as a RR (Registered Representative) and started their career in finance in 2011. William has worked at 4 firms and has passed the Series 65, Series 63, Series 3, SIE, Series 7, Series 6 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

William Edward Fagan Iii | William Fagan

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 William Edward Fagan III'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

March 7, 2019 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 155 Sansome Street 4th Floor, San Francisco, CA 94104

CRD#: 46106

San Francisco, CA

Past

September 12, 2016 - June 20, 2017

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108928

San Francisco, CA

Past

April 5, 2013 - June 20, 2017

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

SAN FRANCISCO, CA

Past

December 7, 2011 - March 27, 2013

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

DENVER, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alaska
(3/7/2019)

Arizona
(3/28/2019)

California
(3/7/2019)

Colorado
(3/7/2019)

Hawaii
(3/7/2019)

Idaho
(3/7/2019)

Illinois
(3/7/2019)

Montana
(3/7/2019)

Nevada
(3/7/2019)

New Mexico
(3/7/2019)

New York
(1/3/2022)

Oregon
(3/7/2019)

Texas
(3/7/2019)

Utah
(3/28/2019)

Washington
(3/7/2019)

Wyoming
(3/7/2019)

Exams

State Security Law Exam

IAR

Series 65

Date: 9/12/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/6/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 1/9/2021

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 6/20/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/20/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/6/2011

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 30

Date: 6/29/2021

NFA Branch Manager Examination

SRO Registrations

FINRA

Current Firm

FORESIDE FUND SERVICES, LLC

FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC

CRD#: 46106 / SEC#: , 8-51293

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

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
STROUT, ALICIA KIMBERLY	CHIEF COMPLIANCE OFFICER/VICE PRESIDENT	6320351

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.

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Advisor Monitoring

Firm Stability Insights

William E. Fagan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Edward Fagan III's CRS (Customer Relationship Summary).

Certified licenses

Experience

BLACKROCK INVESTMENT MANAGEMENT, LLC

BLACKROCK INVESTMENTS, LLC

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/12/2016

Series 63

Date: 1/6/2012

Series 3

Date: 1/9/2021

SIE

Date: 6/20/2017

Series 7

Date: 12/20/2012

Series 6

Date: 12/6/2011

Series 30

Date: 6/29/2021

FINRA

Current Firm

FORESIDE FUND SERVICES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FORESIDE FUND SERVICES, LLC

TRUST BUT VERIFY

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