MN
Michael J. Nelson
FORESIDE FUND SERVICES
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 6067375
MN
Professional summary
Michael John Nelson, who also goes by Mike John Nelson, Michael Nelson, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Chicago, Illinois.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2012. Michael has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mike John Nelson | Michael Nelson
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 Michael John Nelson'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
June 6, 2022 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 222 W. Adams Street Suite 2050, Chicago, IL 60606BD
CRD#: 46106
Chicago, IL
Past
December 13, 2017 - May 20, 2022
WILLIAM BLAIR
BD
CRD#: 1252
CHICAGO, IL
Past
September 20, 2017 - December 18, 2017
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
PORTLAND, ME
Past
April 14, 2015 - May 30, 2017
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
CHICAGO, IL
Past
December 2, 2013 - April 3, 2015
BLUEROCK CAPITAL MARKETS LLC
BD
CRD#: 136974
NEW YORK, NY
Past
June 28, 2012 - December 3, 2013
INLAND SECURITIES CORPORATION
BD
CRD#: 15807
OAK BROOK, IL
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(6/6/2022)
RR
Alaska(6/6/2022)
RR
Arizona(6/6/2022)
RR
Arkansas(6/6/2022)
RR
California(6/6/2022)
RR
Colorado(6/6/2022)
RR
Connecticut(6/6/2022)
RR
Delaware(6/6/2022)
RR
District of Columbia(6/6/2022)
RR
Florida(6/6/2022)
RR
Georgia(6/6/2022)
RR
Hawaii(6/6/2022)
RR
Idaho(6/6/2022)
RR
Illinois(6/6/2022)
RR
Indiana(6/6/2022)
RR
Iowa(6/6/2022)
RR
Kansas(6/6/2022)
RR
Kentucky(6/6/2022)
RR
Louisiana(6/6/2022)
RR
Maine(6/6/2022)
RR
Maryland(6/6/2022)
RR
Massachusetts(6/6/2022)
RR
Michigan(6/6/2022)
RR
Minnesota(6/6/2022)
RR
Mississippi(6/6/2022)
RR
Missouri(6/6/2022)
RR
Montana(6/6/2022)
RR
Nebraska(6/6/2022)
RR
Nevada(6/6/2022)
RR
New Hampshire(6/6/2022)
RR
New Jersey(6/6/2022)
RR
New Mexico(6/6/2022)
RR
New York(6/6/2022)
RR
North Carolina(6/6/2022)
RR
North Dakota(6/6/2022)
RR
Ohio(6/6/2022)
RR
Oklahoma(6/6/2022)
RR
Oregon(6/6/2022)
RR
Pennsylvania(6/6/2022)
RR
Puerto Rico(6/6/2022)
RR
Rhode Island(6/6/2022)
RR
South Carolina(6/6/2022)
RR
South Dakota(6/6/2022)
RR
Tennessee(6/6/2022)
RR
Texas(6/6/2022)
RR
Utah(6/6/2022)
RR
Vermont(6/6/2022)
RR
Virginia(6/6/2022)
RR
Washington(6/6/2022)
RR
West Virginia(6/6/2022)
RR
Wisconsin(6/6/2022)
RR
Wyoming(6/6/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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)
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.
