MD
Michael J. Durocher
FORESIDE FUND SERVICES
El Segundo, CA 90245
Some features on this profile are disabled
CRD#: 6364850
MD
Professional summary
Michael Joseph Durocher, who also goes by Mike Durocher, Michael Durocher, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in El Segundo, California.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2014. Michael has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mike Durocher | Michael Durocher
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 Joseph Durocher'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
December 21, 2022 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 266 Kansas St., El Segundo, CA 90245BD
CRD#: 46106
El Segundo, CA
Past
August 8, 2019 - November 29, 2022
HENNION & WALSH, INC.
BD
CRD#: 25766
PARSIPPANY, NJ
Past
March 28, 2017 - March 14, 2019
CION SECURITIES, LLC
BD
CRD#: 15487
NEW YORK, NY
Past
November 18, 2014 - April 6, 2015
MCADAM LLC
RIA
CRD#: 170914
PHILADELPHIA, PA
Past
October 3, 2014 - April 1, 2015
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Philadelphia, PA
Past
August 7, 2014 - October 3, 2014
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
PHILADELPHIA, PA
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(12/21/2022)
RR
Alaska(1/3/2023)
RR
Arizona(1/3/2023)
RR
Arkansas(1/3/2023)
RR
California(1/3/2023)
RR
Colorado(1/3/2023)
RR
Connecticut(12/21/2022)
RR
Delaware(12/21/2022)
RR
District of Columbia(12/21/2022)
RR
Florida(12/21/2022)
RR
Georgia(12/21/2022)
RR
Hawaii(1/3/2023)
RR
Idaho(1/3/2023)
RR
Illinois(1/3/2023)
RR
Indiana(1/3/2023)
RR
Iowa(1/3/2023)
RR
Kansas(1/3/2023)
RR
Kentucky(1/3/2023)
RR
Louisiana(1/3/2023)
RR
Maine(12/21/2022)
RR
Maryland(12/21/2022)
RR
Massachusetts(12/21/2022)
RR
Michigan(1/3/2023)
RR
Minnesota(1/3/2023)
RR
Mississippi(12/21/2022)
RR
Missouri(1/3/2023)
RR
Montana(1/4/2023)
RR
Nebraska(1/3/2023)
RR
Nevada(1/3/2023)
RR
New Hampshire(12/21/2022)
RR
New Jersey(12/21/2022)
RR
New Mexico(1/3/2023)
RR
New York(12/21/2022)
RR
North Carolina(12/21/2022)
RR
North Dakota(1/3/2023)
RR
Ohio(1/3/2023)
RR
Oklahoma(1/3/2023)
RR
Oregon(1/3/2023)
RR
Pennsylvania(12/21/2022)
RR
Puerto Rico(12/21/2022)
RR
Rhode Island(12/21/2022)
RR
South Carolina(12/21/2022)
RR
South Dakota(1/3/2023)
RR
Tennessee(1/3/2023)
RR
Texas(1/3/2023)
RR
Utah(1/3/2023)
RR
Vermont(12/21/2022)
RR
Virgin Islands(12/21/2022)
RR
Virginia(12/21/2022)
RR
Washington(1/3/2023)
RR
West Virginia(12/21/2022)
RR
Wisconsin(1/3/2023)
RR
Wyoming(1/3/2023)
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)
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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
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.
