RR
Randolph F. Roddenberry Iii
FORESIDE FUND SERVICES
El Segundo, CA 90245
Some features on this profile are disabled
CRD#: 6226968
RR
Professional summary
Randolph Franklin Roddenberry Iii, who also goes by Randolph Franklin Roddenberry III III, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in El Segundo, California.
Randolph is registered as a RR (Registered Representative) and started their career in finance in 2021. Randolph has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Randolph Franklin Roddenberry Iii Iii
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 Randolph Franklin Roddenberry Iii'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 28, 2022 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 266 Kansas St., El Segundo, CA 90245BD
CRD#: 46106
El Segundo, CA
Past
June 15, 2021 - February 28, 2022
GRIFFIN CAPITAL SECURITIES, LLC
BD
CRD#: 37739
EL SEGUNDO, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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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
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Alabama(4/18/2022)
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Alaska(1/3/2023)
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Arizona(4/18/2022)
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Arkansas(4/18/2022)
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California(4/18/2022)
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Colorado(4/18/2022)
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Connecticut(4/18/2022)
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Delaware(4/18/2022)
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District of Columbia(4/18/2022)
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Florida(4/18/2022)
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Georgia(4/18/2022)
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Hawaii(4/18/2022)
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Idaho(4/18/2022)
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Illinois(4/18/2022)
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Indiana(4/18/2022)
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Iowa(4/18/2022)
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Kansas(4/18/2022)
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Kentucky(4/18/2022)
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Louisiana(4/18/2022)
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Maine(4/18/2022)
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Maryland(4/18/2022)
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Massachusetts(4/18/2022)
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Michigan(4/18/2022)
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Minnesota(4/18/2022)
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Mississippi(4/18/2022)
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Missouri(4/18/2022)
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Montana(4/18/2022)
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Nebraska(4/18/2022)
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Nevada(4/18/2022)
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New Hampshire(4/18/2022)
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New Jersey(4/18/2022)
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New Mexico(4/18/2022)
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New York(4/18/2022)
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North Carolina(4/18/2022)
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North Dakota(4/18/2022)
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Ohio(4/18/2022)
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Oklahoma(4/18/2022)
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Oregon(4/18/2022)
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Pennsylvania(4/18/2022)
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Rhode Island(4/18/2022)
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South Carolina(4/18/2022)
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South Dakota(4/18/2022)
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Tennessee(4/18/2022)
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Texas(4/18/2022)
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Utah(4/18/2022)
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Vermont(4/18/2022)
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Virgin Islands(1/3/2023)
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Virginia(4/18/2022)
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Washington(4/18/2022)
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West Virginia(4/18/2022)
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Wisconsin(4/18/2022)
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Wyoming(4/18/2022)
Exams
State Security Law Exam
General Industry/Product Exam
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Series 7TO
Date: 6/15/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
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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)
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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)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
