Thomas P. Gould

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CRD#: 1081309

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Thomas Patrick Gould, who also goes by Thomas P Gould, Thomas Gould, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1994. Thomas had worked at 11 firms and has passed the Series 66, Series 63, Series 99TO, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 10, Series 9, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas P Gould | Thomas Gould

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.

Cresset Administrative Services Corporation; Investment Related; Chicago, IL; Investment Adviser, Director of Compliance; SEC rule and policy creation and monitoring; Email surveillance; marketing pieces pre and post review; 03/2022; 180 Hrs/Mo.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 3, 2023 - October 17, 2024

FORESIDE FUND SERVICES, LLC

CRD#: 46106

Chicago, IL

Past

September 26, 2022 - October 22, 2024

CRESSET ASSET MANAGEMENT, LLC

RIA

CRD#: 288566

CHICAGO, IL

Past

August 22, 2019 - March 30, 2022

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

Chicago, IL

Past

August 22, 2019 - March 30, 2022

J.P. MORGAN SECURITIES LLC

CRD#: 79

Chicago, IL

Past

August 30, 2017 - April 23, 2019

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

Arlington Heights, IL

Past

August 30, 2017 - April 23, 2019

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

Past

May 29, 2007 - May 5, 2017

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

CHICAGO, IL

Past

May 29, 2007 - May 5, 2017

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

CHICAGO, IL

Past

April 3, 2007 - April 13, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

CHICAGO, IL

Past

April 3, 2007 - April 13, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 16, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

CHICAGO, IL

Past

September 22, 2005 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

CHICAGO, IL

Past

May 7, 1998 - September 30, 2003

ELECTRONIC TRADING GROUP, LLC

CRD#: 37453

NEW YORK, NY

Past

January 15, 1998 - March 20, 1998

ALL-TECH DIRECT, INC.

CRD#: 13992

MONTVALE, NJ

Past

August 21, 1995 - January 1, 1998

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

August 18, 1994 - October 25, 1994

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 18, 1994 - October 25, 1994

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/13/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/5/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/8/2010

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 1/9/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/17/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 10/17/2008

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/15/2008

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 4

Date: 11/23/1999

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/18/1998

General Securities Principal Examination

Current Firm

FORESIDE FUND SERVICES, LLC

FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC

CRD#: 46106 / SEC#: , 8-51293

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

(207) 553-7110

Established

Delaware since 09/08/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FORESIDE DISTRIBUTORS, LLC	SOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKI	PRES/MANAGER/DIRECTOR	1544189
EDELMAN, GABRIEL	SECRETARY	6654419
LA FOND, SUSAN LORENE	TREASURER	4512785
LANZA, CHRISTOPHER CONTE	VICE PRESIDENT	2184856
MACCHIA, KATE SCHENDEL	VICE PRESIDENT	4863973
SOMMERS, WESTON	CFO/FINOP	5290145
STROUT, ALICIA KIMBERLY	CHIEF COMPLIANCE OFFICER/VICE PRESIDENT	6320351

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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Advisor Monitoring

Firm Stability Insights

Thomas P. Gould

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CRESSET ASSET MANAGEMENT, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

ELECTRONIC TRADING GROUP, LLC

ALL-TECH DIRECT, INC.

TD AMERITRADE, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/13/2006

Series 63

Date: 8/5/1994

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 3/8/2010

Series 55

Date: 1/9/1999

Series 7

Date: 8/17/1994

Series 10

Date: 10/17/2008

Series 9

Date: 9/15/2008

Series 4

Date: 11/23/1999

Series 24

Date: 5/18/1998

Current Firm

FORESIDE FUND SERVICES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FORESIDE FUND SERVICES, LLC

TRUST BUT VERIFY

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