Samuel M. Kelly

FORESIDE FUND SERVICES

Washington, DC 20003

Some features on this profile are disabled

CRD#: 6740219

Professional summary

Samuel Mackenzie Kelly, who also goes by Sam Mackenzie Kelly, Sam Kelly, Samuel Mackenzie Kelly, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Washington, District Of Columbia.

Samuel is registered as a RR (Registered Representative) and started their career in finance in 2018. Samuel has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sam Mackenzie Kelly | Sam Kelly | Samuel Mackenzie Kelly

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 Samuel Mackenzie Kelly'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

July 22, 2025 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 1275 New Jersey Ave. Se Suite 601, Washington, DC 20003

CRD#: 46106

Washington, DC

Past

January 24, 2025 - July 17, 2025

ENCLAVE CAPITAL LLC

CRD#: 22732

BOCA RATON, FL

Past

September 5, 2023 - April 16, 2024

STONEHAVEN, LLC

CRD#: 118913

NEW YORK, NY

Past

June 8, 2022 - August 8, 2023

FINALIS SECURITIES LLC

CRD#: 305908

NEW YORK, NY

Past

January 18, 2022 - June 27, 2022

EXEMPLAR CAPITAL, LLC

CRD#: 155786

New York, NY

Past

December 22, 2021 - January 5, 2022

FEF DISTRIBUTORS, LLC

CRD#: 46585

NEW YORK, NY

Past

September 14, 2021 - October 4, 2021

SPARTAN CAPITAL SECURITIES, LLC

CRD#: 146251

NEW YORK, NY

Past

December 15, 2020 - April 23, 2021

MISSIONSQUARE RETIREMENT

RIA

CRD#: 108783

WASHINGTON, DC

Past

December 15, 2020 - April 23, 2021

MISSIONSQUARE INVESTMENT SERVICES

CRD#: 23189

WASHINGTON, DC

Past

January 29, 2019 - December 3, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NORTH BETHESDA, MD

Past

October 18, 2018 - December 3, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NORTH BETHESDA, MD

State Registrations and Notice Filings

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

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

Alabama
(7/22/2025)

Alaska
(7/22/2025)

Arizona
(7/22/2025)

Arkansas
(7/22/2025)

California
(7/22/2025)

Colorado
(7/22/2025)

Connecticut
(7/22/2025)

Delaware
(7/22/2025)

District of Columbia
(7/22/2025)

Florida
(7/22/2025)

Georgia
(7/22/2025)

Hawaii
(7/22/2025)

Idaho
(7/22/2025)

Illinois
(7/22/2025)

Indiana
(7/22/2025)

Iowa
(7/22/2025)

Kansas
(7/22/2025)

Kentucky
(7/22/2025)

Louisiana
(7/22/2025)

Maine
(7/22/2025)

Maryland
(7/22/2025)

Massachusetts
(7/22/2025)

Michigan
(7/22/2025)

Minnesota
(7/22/2025)

Mississippi
(7/22/2025)

Missouri
(7/22/2025)

Montana
(7/22/2025)

Nebraska
(7/22/2025)

Nevada
(7/22/2025)

New Hampshire
(7/22/2025)

New Jersey
(7/22/2025)

New Mexico
(7/22/2025)

New York
(7/22/2025)

North Carolina
(7/22/2025)

North Dakota
(7/22/2025)

Ohio
(7/22/2025)

Oklahoma
(7/22/2025)

Oregon
(7/22/2025)

Pennsylvania
(7/22/2025)

Rhode Island
(7/22/2025)

South Carolina
(7/22/2025)

South Dakota
(7/22/2025)

Tennessee
(7/22/2025)

Texas
(7/22/2025)

Utah
(7/22/2025)

Vermont
(7/22/2025)

Virginia
(7/22/2025)

Washington
(7/22/2025)

West Virginia
(7/22/2025)

Wisconsin
(7/22/2025)

Wyoming
(7/22/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 1/28/2019

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/19/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/18/2018

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FORESIDE FUND SERVICES, LLC

FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC

CRD#: 46106 / SEC#: , 8-51293

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

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.

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Advisor Monitoring

Firm Stability Insights

Samuel M. Kelly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Samuel Mackenzie Kelly's CRS (Customer Relationship Summary).

Certified licenses

Experience

ENCLAVE CAPITAL LLC

STONEHAVEN, LLC

FINALIS SECURITIES LLC

EXEMPLAR CAPITAL, LLC

FEF DISTRIBUTORS, LLC

SPARTAN CAPITAL SECURITIES, LLC

MISSIONSQUARE RETIREMENT

MISSIONSQUARE INVESTMENT SERVICES

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 1/28/2019

SIE

Date: 10/19/2018

Series 7

Date: 10/18/2018

FINRA

Current Firm

FORESIDE FUND SERVICES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FORESIDE FUND SERVICES, LLC

TRUST BUT VERIFY

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