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Timothy Dempsey Spelman

Foreside Fund Services, LLC

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About Timothy Dempsey Spelman

Timothy Dempsey Spelman has over 16 years of experience in the financial services industry. Timothy is currently registered with Foreside Fund Services, LLC and has previously been registered with Funds Distributor, LLC, M.J. Whitman LLC, Neuberger Berman LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Neuberger Berman Management Inc. Timothy holds the Series 6, 7, 63, and 66 licenses as well as the SIE exam. Timothy is currently registered in Connecticut, Maine, Massachusetts, New Hampshire, New York, Rhode Island, and Vermont.

Firm Information

Timothy Spelman is currently registered with Foreside Fund Services, LLC. Foreside Fund Services, LLC is a Limited Liability Company formed in 1998. It is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. It has also been approved for SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

625

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Timothy Spelman’s Registration & Firm History

CT

11/30/2023 - Present

Foreside Fund Services, LLC (Westport CT)

NY

06/08/2023 - 10/11/2023

FORESIDE FUND SERVICES, LLC (New York NY)

NY

06/25/2015 - 06/08/2023

FUNDS DISTRIBUTOR, LLC (NEW YORK NY)

NY

10/29/2014 - 05/26/2015

M.J. WHITMAN LLC (NEW YORK NY)

NY

08/25/2010 - 10/22/2014

NEUBERGER BERMAN LLC (NEW YORK NY)

NY

09/19/2008 - 05/05/2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

10/16/2006 - 06/03/2008

NEUBERGER BERMAN MANAGEMENT INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 10/29/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/03/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/20/2008

Series 7 - General Securities Representative Examination

BC

Issued 10/13/2006

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Timothy Dempsey Spelman.
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