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SR

Stephen Michael Rupp

FORESIDE FUND SERVICES

Broomfield, CO

·CRD# 6523980·9 years experience

Professional Summary

Stephen Michael Rupp, who also goes by Stephen M Rupp, Stephen Rupp, is a registered financial advisor currently at FORESIDE FUND SERVICES, LLC located in Broomfield, Colorado. Stephen is registered as a RR (Registered Representative) and started their career in finance in 2017. Stephen has worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Stephen M Rupp, Stephen Rupp

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

9 years in the financial services industry

Current & Past Employments

FORESIDE FUND SERVICES, LLC·CRD# 46106

BD

1200 Entrepreneurial Drive, Broomfield, CO 80021

March 16, 2026 - Present

HAMILTON LANE SECURITIES LLC·CRD# 281510

BD

Conshohocken, PA

February 12, 2024 - March 5, 2026

ARES WEALTH MANAGEMENT SOLUTIONS, LLC·CRD# 119546

BD

Denver, CO

January 7, 2019 - January 8, 2024

EMPOWER FINANCIAL SERVICES, INC.·CRD# 13109

BD

Greenwood Village, CO

May 11, 2017 - January 10, 2019

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OPPENHEIMER & CO. INC.

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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)

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

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

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

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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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(3/16/2026)

RR

Alaska
(3/16/2026)

RR

Arizona
(3/16/2026)

RR

Arkansas
(3/16/2026)

RR

California
(3/16/2026)

RR

Colorado
(3/16/2026)

RR

Connecticut
(3/16/2026)

RR

Delaware
(3/16/2026)

RR

District of Columbia
(3/16/2026)

RR

Florida
(3/16/2026)

RR

Georgia
(3/16/2026)

RR

Hawaii
(3/16/2026)

RR

Idaho
(3/16/2026)

RR

Illinois
(3/16/2026)

RR

Indiana
(3/16/2026)

RR

Iowa
(3/16/2026)

RR

Kansas
(3/16/2026)

RR

Kentucky
(3/16/2026)

RR

Louisiana
(3/16/2026)

RR

Maine
(3/16/2026)

RR

Maryland
(3/16/2026)

RR

Massachusetts
(3/16/2026)

RR

Michigan
(3/16/2026)

RR

Minnesota
(3/16/2026)

RR

Mississippi
(3/16/2026)

RR

Missouri
(3/16/2026)

RR

Montana
(3/16/2026)

RR

Nebraska
(3/16/2026)

RR

Nevada
(3/16/2026)

RR

New Hampshire
(3/16/2026)

RR

New Jersey
(3/16/2026)

RR

New Mexico
(3/16/2026)

RR

New York
(3/16/2026)

RR

North Carolina
(3/16/2026)

RR

North Dakota
(3/16/2026)

RR

Ohio
(3/16/2026)

RR

Oklahoma
(3/16/2026)

RR

Oregon
(3/16/2026)

RR

Pennsylvania
(3/16/2026)

RR

Rhode Island
(3/16/2026)

RR

South Carolina
(3/16/2026)

RR

South Dakota
(3/16/2026)

RR

Tennessee
(3/16/2026)

RR

Texas
(3/16/2026)

RR

Utah
(3/16/2026)

RR

Vermont
(3/16/2026)

RR

Virginia
(3/16/2026)

RR

Washington
(3/16/2026)

RR

West Virginia
(3/16/2026)

RR

Wisconsin
(3/16/2026)

RR

Wyoming
(3/16/2026)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 2017About the Series 63 exam

Series 7TO — General Securities Representative Examination

Passed Feb 2019About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed May 2017About the Series 6 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Stephen Michael Rupp's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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SR

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