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CR

Caitlin E. Romano

FORESIDE FINANCIAL SERVICES
Portland, ME 04101
Some features on this profile are disabled
CRD#: 6938438
CR

Professional summary

Caitlin E. Romano, who also goes by Caitlin Landon, Caitlin E. Romano, is a registered financial professional currently at FORESIDE FINANCIAL SERVICES, LLC located in Portland, Maine and QUASAR DISTRIBUTORS, LLC located in Portland, Maine.

Caitlin is registered as a RR (Registered Representative) and started their career in finance in 2021. Caitlin has worked at 11 firms and has passed the Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Caitlin Landon | Caitlin E. Romano

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 Caitlin E. Romano'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®
None

Experience

Current

August 18, 2022 - Present

FORESIDE FINANCIAL SERVICES, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 148477
Portland, ME
Current

August 18, 2022 - Present

QUASAR DISTRIBUTORS, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 103848
Portland, ME
Current

August 18, 2022 - Present

FORESIDE FUND SERVICES, LLC

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

August 18, 2022 - Present

FORESIDE FUNDS DISTRIBUTORS LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 31334
Portland, ME
Current

January 12, 2023 - Present

IMST DISTRIBUTORS, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 130745
Portland, ME
Current

January 11, 2024 - Present

FORESIDE GLOBAL SERVICES, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 147382
Portland, ME
Current

December 10, 2024 - Present

PARNASSUS FUNDS DISTRIBUTOR, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 15883
Portland, ME
Current

January 2, 2025 - Present

DISTRIBUTION SERVICES, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 25938
Portland, ME
Current

June 26, 2025 - Present

NORTHERN FUNDS DISTRIBUTORS, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 45943
Portland, ME
Past

August 18, 2022 - October 11, 2023

COMPASS DISTRIBUTORS, LLC

BD
CRD#: 172662
PORTLAND, ME
Past

September 24, 2021 - August 3, 2022

MORGAN STANLEY

BD
CRD#: 149777
WILMINGTON, NC

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
Maine
(2/22/2024)
RR
North Carolina
(3/29/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 3/27/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/24/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/11/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

NF
NORTHERN FUNDS DISTRIBUTORS, LLC
NORTHERN FUNDS DISTRIBUTORS, LLC

CRD#: 45943 / SEC#: , 8-51242

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
(866) 251-6920
Established
Wisconsin since 08/17/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

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
TAYLOR, GORDON BURDETTECHIEF COMPLIANCE OFFICER/VICE PRESIDENT2990648

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

NORTHERN FUNDS DISTRIBUTORS, LLC

CRD#: 45943Portland, ME 04101

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