Thomas H. Mueth
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 Hamilton Mueth, CIMA® was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2014 - May 2, 2017
FORESIDE FUND SERVICES, LLC
May 5, 2006 - June 30, 2010
FORESIDE FUND SERVICES, LLC
May 4, 2006 - January 12, 2018
GOLDEN CAPITAL MANAGEMENT, LLC
March 4, 2004 - January 27, 2006
VICTORY CAPITAL MANAGEMENT INC.
January 2, 2004 - January 3, 2006
VICTORY CAPITAL SERVICES, INC.
March 5, 2003 - December 31, 2003
KEYBANC CAPITAL MARKETS INC.
January 15, 2002 - September 10, 2002
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
December 21, 2000 - January 25, 2002
NICHOLAS-APPLEGATE SECURITIES LLC
March 24, 1998 - November 29, 2000
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 18, 1998 - March 25, 1998
AFS BROKERAGE, INC.
September 15, 1994 - February 18, 1998
AEGON USA SECURITIES INC.
September 21, 1993 - June 27, 1994
INBANK INVESTMENTS, INC.
July 29, 1993 - June 30, 1994
MAGNA INVESTMENTS
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
Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
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
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