AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
UC

Ulysses Cohen

FORESIDE FUND SERVICES
Portland, ME 04101
Some features on this profile are disabled
CRD#: 6898388
UC
Ulysses Cohen IIFORESIDE FUND SERVICES

Professional summary

Ulysses Cohen II, who also goes by Ulysses Bernard Cohen II, Ulysses Bernard Cohen, Ulysses Cohen Ii, Ulysses Cohen, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine.

Ulysses is registered as a RR (Registered Representative) and started their career in finance in 2018. Ulysses has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Aliases

Ulysses Bernard Cohen Ii | Ulysses Bernard Cohen | Ulysses Cohen Ii | Ulysses Cohen

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 Ulysses Cohen II'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 30, 2026 - Present

FORESIDE FUND SERVICES, LLC

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

April 2, 2026 - June 16, 2026

FINALIS SECURITIES LLC

BD
CRD#: 305908
NEW YORK, NY
Past

March 4, 2021 - August 15, 2025

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Fort Lauderdale, FL
Past

January 3, 2019 - January 15, 2021

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
WESTLAKE, TX
Past

March 27, 2018 - April 5, 2018

INSPEREX LLC

BD
CRD#: 101420
BOCA RATON, FL

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
Arkansas
(6/30/2026)
RR
Florida
(6/30/2026)
RR
Mississippi
(6/30/2026)
RR
Oklahoma
(6/30/2026)
RR
Texas
(6/30/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 4/6/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/5/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/27/2018
General Securities Representative 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)
Loading...

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

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

TRUST BUT VERIFY

Monitor Ulysses Cohen

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Diana London
Diana LondonAdvisorCheck Check Mark
PFS INVESTMENTS INC.
IAR
RR
WINDHAM, ME
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.