MGI Funds Distributors, LLC

Broker-DealerFINRA MemberEst. 1994
Total AUM
Advisory reps
102
Avg account
$0

Firm details

Headquarters
Portland, Maine
CRD number
35682
Registered since
May 4, 1994

Firm profile

FINTRX

Overview

MGI Funds Distributors, LLC is organized as a limited liability company that first registered with the SEC in 1994. The firm is identified in the dataset as having a domestic entity/individual ownership structure and is categorized as "unclassified" for its business type. The record marks the firm as not acting as a capital allocator and not engaging as an active ESG investor. Additional flags in the dataset indicate it is not a multi-state adviser, not newly formed, not a pension consultant, and not listed as a related adviser. Taken together, the available descriptors point to an entity that is structured for fund distribution or intermediary activities rather than operating as a traditional asset-management firm with disclosed advisory mandates. The dataset does not provide discrete items such as advisory services offered, fee schedules, client segments, or specific business lines.

Assets & Accounts

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

3 of 3
  • Thomas Wamsley

    Chief Compliance OfficerCRD 2608849

  • Kelly Whetstone

    Kelly Whetstone

    Chief Compliance Officer and Associate General CounselCRD 5380134

  • Susan La Fond

    Susan La Fond

    Managing Director, Chief Compliance OfficerCRD 4512785

Contacts

3 of 99
  • Wesley Driggers

    Wesley Driggers

    Director of ComplianceCRD 6267059

  • David Frederick

    PrincipalCRD 5412962

  • Joseph Delude

    Registered RepresentativeCRD 1979746

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

Portland, ME

Cumberland

Location

Portland, ME

Headquartered in Portland, ME, anchoring the Portland-Lewiston-South Portland, ME metro in the Northeast.

Metro area
Portland-Lewiston-South Portland, ME
Region
Northeast
County
Cumberland
Address
190 Middle St
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth