Distribution and Placement Agent
Through our range of Broker-Dealer subsidiaries, we can provide a suitable outsource solution to your particular distribution needs. Foreside currently distributes over $200 billion of product (as of 12/31/08). We can provide these services for your pooled vehicles and offer compliance-focused professional to support your organization's staff.
Our services include:
- Statutory underwriter/distributor, or placement agent, including 'NSCC Rule 51' clearing membership
- Sales literature and advertising compliance review
- Dealer agreement management
- FINRA member firm and is registered in all fifty states, plus Puerto Rico, District of Columbia and the U.S. Virgin Islands
Registered Representative Services
For your personnel, who market investment companies, you can outsource your firm's registered representative compliance needs.
Our services include:
- Rep FINRA and state registration
- Rep compliance and administration, including:
- Continuing education compliance
- Onsite compliance, training and inspections
- Books and records establishment and review
Please see a success story.
For further information, please contact:
DAVID WHITAKER
Chief Operating Officer, Foreside Financial Group, LLC
News
Sep 30 2009
Foreside is pleased to announce Susan Mosher has joined Foreside as President of Foreside Alternative Investment Services ("FAIS"). more
Sep 25 2009
Foreside is pleased to expand its current relationship with Turner Investment Partners. more
Sep 21 2009
Foreside is pleased to expand its current relationship with Bridgeway Capital Management, Inc. more
Sep 15 2009
Foreside welcomes Ardmore Investment Partners LLC as a new client to our firm. more
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Success Stories
Read about the successful experiences that our clients have had with our services.
