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CM

Cory D. Mand

FORESIDE FINANCIAL SERVICES
Charlotte, NC 28202
Some features on this profile are disabled
CRD#: 6023799
CM

Professional summary

Cory David Mand, who also goes by Cory Mand, is a registered financial professional currently at FORESIDE FINANCIAL SERVICES, LLC located in Charlotte, North Carolina.

Cory is registered as a RR (Registered Representative) and started their career in finance in 2012. Cory has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cory Mand

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 Cory David Mand'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®
None

Experience

Current

September 1, 2020 - Present

FORESIDE FINANCIAL SERVICES, LLC

Office #1: 128 S. Tryon Street Suite 1600, Charlotte, NC 28202
BD
CRD#: 148477
Charlotte, NC
Past

September 12, 2018 - June 29, 2020

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

BD
CRD#: 487
CHARLOTTE, NC
Past

June 29, 2015 - September 12, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
Charlotte, NC
Past

May 29, 2015 - September 12, 2018

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
CHARLOTTE, NC
Past

March 5, 2012 - October 30, 2012

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
BROOKLYN PARK, MN

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
(9/1/2020)
RR
Georgia
(9/1/2020)
RR
Mississippi
(9/1/2020)
RR
North Carolina
(9/1/2020)
RR
South Carolina
(9/1/2020)
RR
Tennessee
(9/1/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/29/2015
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/13/2012
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 7
Date: 5/29/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/2/2012
Investment Company Products/Variable Contracts Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS, LLCDIRECTOR OWNER/SOLE MEMBER
BRUNNER, JENNIFER ANNEVICE PRESIDENT/CHIEF COMPLIANCE OFFICER1137783
COWAN, TERESA MARIA KAZMIERSKIPRESIDENT/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145

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 FINANCIAL SERVICES, LLC

CRD#: 148477Charlotte, NC 28202

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