Thomas E. Franzese

QUASAR DISTRIBUTORS

Portland, ME 04101

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CRD#: 1076905

Professional summary

Thomas Edward Franzese, who also goes by Thomas E Franzese, is a registered financial professional currently at QUASAR DISTRIBUTORS, LLC located in Portland, Maine.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1982. Thomas has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas E Franzese

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Edward Franzese's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 25, 2024 - Present

QUASAR DISTRIBUTORS, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101

CRD#: 103848

Portland, ME

Past

April 1, 2004 - March 31, 2023

LAZARD ASSET MANAGEMENT SECURITIES LLC

CRD#: 129119

NEW YORK, NY

Past

August 2, 1983 - April 1, 2004

LAZARD FRERES & CO. LLC

CRD#: 2528

NEW YORK, NY

Past

November 24, 1982 - December 23, 1985

NOYES PARTNERS INCORPORATED

CRD#: 10128

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(7/31/2024)

Connecticut
(4/11/2025)

Florida
(7/31/2024)

Illinois
(7/31/2024)

New Jersey
(4/25/2024)

New York
(7/31/2024)

Oregon
(7/31/2024)

Pennsylvania
(7/31/2024)

Washington
(7/31/2024)

Exams

State Security Law Exam

IAR

Series 65

Date: 1/27/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/24/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/26/2012

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/20/1982

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

QUASAR DISTRIBUTORS, LLC

CRD#: 103848 / SEC#: , 8-52323

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

190 Middle Street Suite 301, Portland, ME 04101

Mailing Address

190 Middle Street Suite 301, Portland, ME 04101

Phone number

(866) 251-6920

Established

Delaware since 01/21/2000

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
FORESIDE DISTRIBUTORS, LLC	SOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKI	PRESIDENT/MANAGER/DIRECTOR	1544189
EDELMAN, GABRIEL	SECRETARY	6654419
LA FOND, SUSAN LORENE	VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/TREASURER	4512785
LANZA, CHRISTOPHER CONTE	VICE PRESIDENT	2184856
MACCHIA, KATE SCHENDEL	VICE PRESIDENT	4863973
SOMMERS, WESTON	CFO/FINOP	5290145

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Thomas E. Franzese

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Edward Franzese's CRS (Customer Relationship Summary).

Certified licenses

Experience

LAZARD ASSET MANAGEMENT SECURITIES LLC

LAZARD FRERES & CO. LLC

NOYES PARTNERS INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 1/27/1992

Series 63

Date: 7/24/1991

SIE

Date: 10/1/2018

Series 31

Date: 9/26/2012

Series 7

Date: 11/20/1982

FINRA

Current Firm

QUASAR DISTRIBUTORS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

QUASAR DISTRIBUTORS, LLC

TRUST BUT VERIFY

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