Rita E. Tholt
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.
Rita Elizabeth Tholt, who also goes by Rita Elizabeth Eubank, was a registered financial professional .
Rita is a previously registered financial professional and started their career in finance in 1991. Rita had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2015 - December 31, 2022
FORESIDE FINANCIAL SERVICES, LLC
October 5, 2005 - May 1, 2015
NATIONWIDE INVESTMENT SERVICES CORPORATION
May 12, 2004 - January 27, 2005
1717 CAPITAL MANAGEMENT COMPANY
April 1, 2004 - January 27, 2005
NATIONWIDE SECURITIES, LLC
July 29, 2003 - March 30, 2004
JPMORGAN DISTRIBUTION SERVICES, INC.
December 11, 1998 - November 9, 2001
BANC ONE SECURITIES CORPORATION
December 10, 1991 - December 2, 1996
BANC ONE SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
FORESIDE FINANCIAL SERVICES, LLC
CRD#: 148477 / SEC#: , 8-68027
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/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 |
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.
