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Current Employers
Jemma Financial Services

810 Gleneagles Court Suite 109, Baltimore, MD 21286 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2024-01-09
PA RA APPROVED 2022-01-27
  • MD RA
    APPROVED
    Since 2024-01-09
  • PA RA
    APPROVED
    Since 2022-01-27

Branch Locations

810 Gleneagles Court Suite 109, Baltimore, MD 21286 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Harborside Sales Group, Llc Baltimore MD 01/2015 Present
Eulav Securities Llc Baltimore MD 01/2015 12/2016
Quasar Distributors, Llc Milwaukee WI 02/2017 07/2018
Lmm, Llc Baltimore MD 02/2017 07/2018
Foreside Fund Services, Llc Baltimore MD 07/2018 Present
Jemma Investment Advisors Llc Baltimore MD 12/2020 Present
  • 01/2015 → Present
    Harborside Sales Group, Llc
    Baltimore, MD
  • 01/2015 → 12/2016
    Eulav Securities Llc
    Baltimore, MD
  • 02/2017 → 07/2018
    Quasar Distributors, Llc
    Milwaukee, WI
  • 02/2017 → 07/2018
    Lmm, Llc
    Baltimore, MD
  • 07/2018 → Present
    Foreside Fund Services, Llc
    Baltimore, MD
  • 12/2020 → Present
    Jemma Investment Advisors Llc
    Baltimore, MD
Previous Registrations
Other Businesses

1) Harborside Sales Group, LLC; Investment Related; Private Label Sales & Marketing Services; Baltimore, MD; 01/2015; Senior Vice President; Sales and marketing of investment products; 200 Hrs./Mo. with 130 Trading hours. 2) MECP2 Duplication Foundation; Not Investment Related; Public Charity; Tucson, AZ; 11/2020; Board Member; act as a voice for MECP2 Duplication Syndrome Parents in supporting families and furthering research; 5 Hrs./Mo. 3) Jemma Financial Services; Baltimore, MD; Investment Related; Started 12/2020; Financial Services; CCO ; Non-client facing, provides oversight of administrative and sales activities; 5hrs/month with 0 hrs during securities trading hours 4) Cromwell Investment Advisors, LLC; Investment Related; Townson, MD: Investment Adviser to Mutual Fund; COO; oversee the operations of the investment adviser; 03/2022; 20 hrs/mo; 5 hrs/trading/mo. 5) Total Fund Solution; Not Investment Related; Series Trust; Oshkosh, WI; 8/2024; President; Total Fund Solution is a Multiple Series Trust. As President of TFS, general supervision of the and the officers of the Trust; 5 Hrs./Mo. 6) Windsail Technologies, LLC; Not Investment Related; Technology; Baltimore, MD; 01/2026; Founder & President; Equity Interest; 20 Hrs./Mo. In addition to being an Investment Advisor Representative of Harborside Sales Group, LLC, this associate is a Registered Representative of Foreside Fund Services, LLC, an unaffiliated Broker Dealer. The associate is a Registered Representative for purposes of Foreside Fund Services, LLC.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-11-23
S65 Uniform Investment Adviser Law Examination 2008-07-17
S63 Uniform Securities Agent State Law Examination 2007-02-20
  • S66 Uniform Combined State Law Examination
    2020-11-23
  • S65 Uniform Investment Adviser Law Examination
    2008-07-17
  • S63 Uniform Securities Agent State Law Examination
    2007-02-20
Designations
Other Names
  • Stephen Edward Baird
  • Stephen Baird

View on SEC IAPD

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