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 approximately $200bn of product (as of 9/30/08). 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:
RICHARD J. BERTHY
Partner, Foreside Financial Group, LLC
News
Dec 15 2008
Foreside makes a charitable donation in the name of our clients in lieu of holiday gifts. more
Aug 18 2008
Foreside has concluded its expansion of the Portland, Boston, and Columbus offices. more
Jul 1 2008
Foreside is pleased to extend its existing service relationship with RMR Advisors, Inc. more
Jun 16 2008
Foreside welcomes the Allstate Financial Investment Trust as a new client of our firm. more
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Success Stories
Read about the successful experiences that our clients have had with our services.
