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Thomas J. Fiato

FOROS SECURITIES LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 2088433
TF

Professional summary

Thomas Joseph Fiato is a registered financial professional currently at FOROS SECURITIES LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1990. Thomas has worked at 4 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Joseph Fiato'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

July 7, 2021 - Present

FOROS SECURITIES LLC

Office #1: 461 Fifth Avenue 17th Floor, New York, NY 10017
BD
CRD#: 150217
New York, NY
Past

September 6, 2011 - July 29, 2014

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

June 27, 2005 - August 30, 2011

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

September 14, 1990 - June 22, 2005

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
New York
(10/13/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 10/13/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 7/7/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/30/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/12/1990
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FOROS SECURITIES LLC
FOROS SECURITIES LLC

CRD#: 150217 / SEC#: , 8-68233

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
461 Fifth Avenue 17th Floor, New York, NY 10017
Mailing Address
461 Fifth Avenue 17th Floor, New York, NY 10017
Phone number
(212) 340-7000
Established
Delaware since 04/06/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FOROS ADVISORS LLCSOLE OWNER
DANIELS, RICHARD MATTHEWFINOP, CFO, PFO5877964
DOHERTY, JAMES HUGHPOO4197747
MANAS, JEAN EDWARDCEO, EXECUTIVE REPRESENTATIVE, INVESTMENT BANKING MANAGER2633932
POWELL, ROBERT TODDMANAGER, CCO, GENERAL COUNSEL, COO, AML COMPLIANCE OFFICER5330873

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

FOROS SECURITIES LLC

CRD#: 150217New York, NY 10017

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