AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
TP

Thomas R. Palasits

ROYCE FUND SERVICES
NEW YORK, NY 10010
CRD#: 1675575
Some features on this profile are disabled
TP
Thomas R PalasitsROYCE FUND SERVICES

Professional summary


Thomas R Palasits, who also goes by Thomas Roger Palasits, is a registered financial professional currently at ROYCE FUND SERVICES, LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2003. Thomas has worked at 1 firm and has passed the SIE, Series 99TO and Series 27 exams.

Question & Answer


Are you a "fiduciary"?
No

Aliases


Thomas Roger Palasits

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 R Palasits'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

June 20, 2003 - Present

ROYCE FUND SERVICES, LLC

Office #1: One Madison Avenue 17th Floor, New York, NY 10010
BD
CRD#: 14470
NEW YORK, NY

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


General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
Principal/Supervisory Exam
SRO Registrations
RR
FINRA

Current Firm


RF
ROYCE FUND SERVICES, LLC
QUEST DISTRIBUTORS, INC. | ROYCE FUND SERVICES, LLC | ROYCE FUND SERVICES, INC. | QUEST SECURITIES,INC.

CRD#: 14470 / SEC#: , 8-28663

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Loading...

Contact information


Main Address
One Madison Avenue 17th Floor, New York, NY 10010
Mailing Address
One Madison Avenue 17th Floor, New York, NY 10010
Phone number
(212) 508-4500
Established
Delaware since 02/24/2017
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)


Documents


Direct owners and executive officers


NamePositionCRD#
ROYCE & ASSOCIATES, LPMEMBER
CLARK, CHRISTOPHER DEWITTPRESIDENT, SUPERVISORY PRINCIPAL1735713
DENNEEN, JOHN EDWARDSECRETARY, GENERAL COUNSEL4324430
GANNON, FRANCIS DOYLEVICE PRESIDENT2420802
PALASITS, THOMAS RTREASURER, FINANCIAL & OPERATIONS PRINCIPAL1675575
WILSON, DAVID BERTRANDCHIEF COMPLIANCE OFFICER5780721

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.

Company Information


ROYCE FUND SERVICES, LLC

CRD#: 14470New York, NY 10010

TRUST BUT VERIFY

Monitor Thomas Palasits

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors


Elizabeth Katz Miller
Elizabeth MillerAdvisorCheck Check Mark
SUMMIT PLACE FINANCIAL ADVISORS, LLC
IAR
Summit, NJ
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Anthony J. Macagna
Anthony MacagnaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
PARAMUS, NJ
footer-logo

AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.