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LR

Luke A. Raffa

FORESIDE FUND SERVICES
Portland, ME 04101
Some features on this profile are disabled
CRD#: 6330620
LR
Luke Anthony RaffaFORESIDE FUND SERVICES

Professional summary

Luke Anthony Raffa, who also goes by Luke Raffa, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine.

Luke is registered as a RR (Registered Representative) and started their career in finance in 2014. Luke has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Aliases

Luke Raffa

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.
FROM 6/2025 TO PRESENT, PET SITTER AT 801 N. VENETIAN DRIVE, APT. 307, MIAMI BEACH, FL 33139. DUTIES ARE NOT INVESTMENT RELATED AND ARE NOT PERFORMED DURING TRADING HOURS. TIME SPENT IS 5-15 HOURS PER MONTH. FROM 1/2024 TO PRESENT, OWNER OF 301 GULFSTREAM DRIVE, DELRAY BEACH, FL 33444. DUTIES ARE NOT INVESTMENT RELATED AND ARE NOT PERFORMED DURING TRADING HOURS. TIME SPENT IS LESS THAN ONE HOUR PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Luke Anthony Raffa'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

August 28, 2026 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 46106
Portland, ME
Past

August 17, 2021 - July 28, 2026

FEDERATED GLOBAL INVESTMENT MANAGEMENT CORP.

RIA
CRD#: 106277
Miami, FL
Past

February 13, 2017 - July 28, 2026

MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC

RIA
CRD#: 109355
Miami, FL
Past

February 7, 2017 - July 28, 2026

FEDERATED SECURITIES CORP.

RIA
CRD#: 5009
Miami, FL
Past

February 7, 2017 - July 28, 2026

FEDERATED INVESTMENT COUNSELING

RIA
CRD#: 105325
Miami, FL
Past

January 10, 2017 - July 28, 2026

FEDERATED SECURITIES CORP.

BD
CRD#: 5009
PITTSBURGH, PA
Past

June 26, 2015 - January 3, 2017

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
FRANKLIN, TN
Past

August 25, 2014 - June 22, 2015

LPL FINANCIAL LLC

BD
CRD#: 6413
BURLINGTON, NC

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
(8/28/2026)
RR
Arkansas
(8/28/2026)
RR
District of Columbia
(8/28/2026)
RR
Florida
(8/28/2026)
RR
Georgia
(8/28/2026)
RR
Louisiana
(8/28/2026)
RR
Mississippi
(8/28/2026)
RR
North Carolina
(8/28/2026)
RR
Oklahoma
(8/28/2026)
RR
South Carolina
(8/28/2026)
RR
Tennessee
(8/28/2026)
RR
Texas
(8/28/2026)
RR
Virginia
(8/28/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/6/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/16/2014
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: 8/24/2014
General Securities Representative Examination
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)
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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

NamePositionCRD#
FORESIDE DISTRIBUTORS, LLCSOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKIPRES/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145
STROUT, ALICIA KIMBERLYCHIEF COMPLIANCE OFFICER/VICE PRESIDENT6320351

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 FUND SERVICES, LLC

CRD#: 46106Portland, ME 04101

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