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NV

Nicholas A. Vandal

FORESIDE FUND SERVICES
Portland, ME 04101
Some features on this profile are disabled
CRD#: 6625345
NV

Professional summary

Nicholas Adam Vandal, who also goes by Nicholas Adam Vandal, Nick Vandal, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2017. Nicholas has worked at 15 firms and has passed the Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicholas Adam Vandal | Nick Vandal

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Adam Vandal'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

June 27, 2025 - Present

FORESIDE FUND SERVICES, LLC

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

June 27, 2025 - December 31, 2025

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

June 27, 2025 - December 31, 2025

PARNASSUS FUNDS DISTRIBUTOR, LLC

BD
CRD#: 15883
PORTLAND, ME
Past

June 27, 2025 - December 31, 2025

NORTHERN FUNDS DISTRIBUTORS, LLC

BD
CRD#: 45943
PORTLAND, ME
Past

June 27, 2025 - December 31, 2025

MGI FUNDS DISTRIBUTORS, LLC

BD
CRD#: 35682
PORTLAND, ME
Past

June 27, 2025 - December 31, 2025

FUNDS DISTRIBUTOR, LLC

BD
CRD#: 7174
PORTLAND, ME
Past

June 27, 2025 - December 31, 2025

FORESIDE GLOBAL SERVICES, LLC

BD
CRD#: 147382
PORTLAND, ME
Past

June 27, 2025 - December 31, 2025

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
PORTLAND, ME
Past

June 27, 2025 - December 31, 2025

FORESIDE FINANCIAL SERVICES, LLC

BD
CRD#: 148477
PORTLAND, ME
Past

June 27, 2025 - December 31, 2025

FORESIDE DISTRIBUTION SERVICES, L.P.

BD
CRD#: 15634
PORTLAND, ME
Past

March 13, 2025 - December 31, 2025

SMEAD FUNDS DISTRIBUTORS, LLC

BD
CRD#: 173734
PORTLAND, ME
Past

March 13, 2025 - December 31, 2025

IMST DISTRIBUTORS, LLC

BD
CRD#: 130745
PORTLAND, ME
Past

February 3, 2022 - December 31, 2025

DISTRIBUTION SERVICES, LLC

BD
CRD#: 25938
PORTLAND, ME
Past

May 9, 2019 - November 5, 2021

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

BD
CRD#: 144464
DENVER, CO
Past

August 4, 2017 - November 5, 2021

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/4/2017
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 8/11/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/12/2017
General Securities Principal 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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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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