LO
Lisa K. O'connor
FORESIDE FUND SERVICES
Broomfield, CO 80021
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CRD#: 6630446
LO
Professional summary
Lisa Kay O'connor, who also goes by Lisa Kay Nevin Ms, Lisa Kay Nevin, Lisa Nevin, Lisa Kay Oconnor, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Broomfield, Colorado.
Lisa is registered as a RR (Registered Representative) and started their career in finance in 2016. Lisa has worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Lisa Kay Nevin Ms | Lisa Kay Nevin | Lisa Nevin | Lisa Kay Oconnor
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 Lisa Kay O'connor'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
September 21, 2022 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 1200 Entrepreneurial Drive, Broomfield, CO 80021BD
CRD#: 46106
Broomfield, CO
Past
June 13, 2016 - July 29, 2022
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.
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(5/9/2023)
RR
Alaska(5/9/2023)
RR
Arizona(5/9/2023)
RR
Arkansas(5/9/2023)
RR
California(5/9/2023)
RR
Colorado(5/9/2023)
RR
Connecticut(5/9/2023)
RR
Delaware(5/9/2023)
RR
District of Columbia(5/9/2023)
RR
Florida(5/9/2023)
RR
Georgia(5/9/2023)
RR
Hawaii(5/9/2023)
RR
Idaho(5/9/2023)
RR
Illinois(5/9/2023)
RR
Indiana(5/9/2023)
RR
Iowa(5/9/2023)
RR
Kansas(5/9/2023)
RR
Kentucky(5/9/2023)
RR
Louisiana(5/9/2023)
RR
Maine(5/9/2023)
RR
Maryland(5/9/2023)
RR
Massachusetts(5/9/2023)
RR
Michigan(5/9/2023)
RR
Minnesota(5/9/2023)
RR
Mississippi(5/9/2023)
RR
Missouri(5/9/2023)
RR
Montana(5/16/2023)
RR
Nebraska(5/9/2023)
RR
Nevada(5/9/2023)
RR
New Hampshire(5/9/2023)
RR
New Jersey(5/9/2023)
RR
New Mexico(5/9/2023)
RR
New York(5/9/2023)
RR
North Carolina(5/9/2023)
RR
North Dakota(5/9/2023)
RR
Ohio(5/9/2023)
RR
Oklahoma(5/9/2023)
RR
Oregon(5/9/2023)
RR
Pennsylvania(5/9/2023)
RR
Puerto Rico(5/9/2023)
RR
Rhode Island(5/9/2023)
RR
South Carolina(5/9/2023)
RR
South Dakota(5/9/2023)
RR
Tennessee(6/12/2023)
RR
Texas(5/9/2023)
RR
Utah(5/9/2023)
RR
Vermont(5/9/2023)
RR
Virginia(5/9/2023)
RR
Washington(5/9/2023)
RR
West Virginia(5/9/2023)
RR
Wisconsin(5/9/2023)
RR
Wyoming(5/9/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FORESIDE FUND SERVICES, LLC
CRD#: 46106Broomfield, CO 80021TRUST BUT VERIFY
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