AS
Alexander E. Swain
FORESIDE FUND SERVICES
Marina Del Rey, CA 90292
Some features on this profile are disabled
CRD#: 7516123
AS
Professional summary
Alexander E. Swain, who also goes by Alexander Edward Swain, Xander Swain, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Marina Del Rey, California.
Alexander is registered as a RR (Registered Representative) and started their career in finance in 2022. Alexander has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Alexander Edward Swain | Xander Swain
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 Alexander E. Swain'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
April 20, 2022 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 4640 Admiralty Way 11th Floor, Marina Del Rey, CA 90292Office #2: 888 San Clemente Dr Suite 180, Newport Beach, CA 92660BD
CRD#: 46106
Marina Del Rey, CA
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(6/3/2022)
RR
Alaska(6/3/2022)
RR
Arizona(6/3/2022)
RR
Arkansas(6/3/2022)
RR
California(6/3/2022)
RR
Colorado(6/3/2022)
RR
Connecticut(6/3/2022)
RR
Delaware(6/3/2022)
RR
District of Columbia(6/3/2022)
RR
Florida(6/3/2022)
RR
Georgia(6/3/2022)
RR
Hawaii(6/3/2022)
RR
Idaho(6/3/2022)
RR
Illinois(6/3/2022)
RR
Indiana(6/3/2022)
RR
Iowa(6/3/2022)
RR
Kansas(6/3/2022)
RR
Kentucky(6/3/2022)
RR
Louisiana(6/3/2022)
RR
Maine(6/3/2022)
RR
Maryland(6/3/2022)
RR
Massachusetts(6/3/2022)
RR
Michigan(6/3/2022)
RR
Minnesota(6/3/2022)
RR
Mississippi(6/3/2022)
RR
Missouri(6/3/2022)
RR
Montana(6/3/2022)
RR
Nebraska(6/3/2022)
RR
Nevada(6/3/2022)
RR
New Hampshire(6/3/2022)
RR
New Jersey(6/3/2022)
RR
New Mexico(6/3/2022)
RR
New York(6/3/2022)
RR
North Carolina(6/3/2022)
RR
North Dakota(6/3/2022)
RR
Ohio(6/3/2022)
RR
Oklahoma(6/3/2022)
RR
Oregon(6/3/2022)
RR
Pennsylvania(6/3/2022)
RR
Puerto Rico(6/3/2022)
RR
Rhode Island(6/3/2022)
RR
South Carolina(6/3/2022)
RR
South Dakota(6/3/2022)
RR
Tennessee(6/3/2022)
RR
Texas(6/3/2022)
RR
Utah(6/3/2022)
RR
Vermont(6/3/2022)
RR
Virgin Islands(6/3/2022)
RR
Virginia(6/3/2022)
RR
Washington(6/3/2022)
RR
West Virginia(6/3/2022)
RR
Wisconsin(6/3/2022)
RR
Wyoming(6/3/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/20/2022
General Securities Representative ExaminationGeneral Industry/Product 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.
