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AG

Alicia M. Gustafson

FORESIDE FUNDS DISTRIBUTORS LLC
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 7789041
AG

Professional summary

Alicia Michele Gustafson, who also goes by Alicia Gustafson, is a registered financial professional currently at FORESIDE FUNDS DISTRIBUTORS LLC located in Boca Raton, Florida.

Alicia is registered as a RR (Registered Representative) and started their career in finance in 2023. Alicia has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alicia Gustafson

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 Alicia Michele Gustafson'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

November 2, 2023 - Present

FORESIDE FUNDS DISTRIBUTORS LLC

Office #1: 1825 Nw Corporate Boulevard Suite 300, Boca Raton, FL 33431
BD
CRD#: 31334
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
Alabama
(3/1/2024)
RR
Alaska
(3/1/2024)
RR
Arizona
(3/1/2024)
RR
Arkansas
(3/1/2024)
RR
California
(3/1/2024)
RR
Colorado
(3/1/2024)
RR
Connecticut
(3/1/2024)
RR
Delaware
(3/1/2024)
RR
District of Columbia
(3/1/2024)
RR
Florida
(3/1/2024)
RR
Georgia
(3/1/2024)
RR
Hawaii
(3/1/2024)
RR
Idaho
(3/1/2024)
RR
Illinois
(3/1/2024)
RR
Indiana
(3/1/2024)
RR
Iowa
(3/1/2024)
RR
Kansas
(3/1/2024)
RR
Kentucky
(3/1/2024)
RR
Louisiana
(3/1/2024)
RR
Maine
(3/1/2024)
RR
Maryland
(3/1/2024)
RR
Massachusetts
(3/1/2024)
RR
Michigan
(3/1/2024)
RR
Minnesota
(3/1/2024)
RR
Mississippi
(3/1/2024)
RR
Missouri
(3/1/2024)
RR
Montana
(3/1/2024)
RR
Nebraska
(3/1/2024)
RR
Nevada
(3/1/2024)
RR
New Hampshire
(3/1/2024)
RR
New Jersey
(3/1/2024)
RR
New Mexico
(3/1/2024)
RR
New York
(3/1/2024)
RR
North Carolina
(3/1/2024)
RR
North Dakota
(3/1/2024)
RR
Ohio
(3/1/2024)
RR
Oklahoma
(3/1/2024)
RR
Oregon
(3/1/2024)
RR
Pennsylvania
(3/1/2024)
RR
Rhode Island
(3/1/2024)
RR
South Carolina
(3/1/2024)
RR
South Dakota
(3/1/2024)
RR
Tennessee
(3/1/2024)
RR
Texas
(3/1/2024)
RR
Utah
(3/1/2024)
RR
Vermont
(3/1/2024)
RR
Virginia
(3/1/2024)
RR
Washington
(3/1/2024)
RR
West Virginia
(3/1/2024)
RR
Wisconsin
(3/1/2024)
RR
Wyoming
(3/1/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/29/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/12/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FORESIDE FUNDS DISTRIBUTORS LLC
440 FINANCIAL DISTRIBUTORS, INC. | PFPC DISTRIBUTORS, INC. | FORESIDE FUNDS DISTRIBUTORS LLC | FIRST DATA DISTRIBUTORS, INC. | BNY MELLON DISTRIBUTORS LLC | BNY MELLON DISTRIBUTORS INC.

CRD#: 31334 / SEC#: , 8-45467

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
Delaware since 01/30/2012
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 LLCDIRECTOR OWNER/SOLE MEMBER
BRUNNER, JENNIFER ANNEVP/CHIEF COMPLIANCE OFFICER1137783
COWAN, TERESA MARIA KAZMIERSKIPRESIDENT/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145

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 FUNDS DISTRIBUTORS LLC

CRD#: 31334Boca Raton, FL 33431

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