Thomas E. Dion
Professional summary
Thomas Elliott Dion, who also goes by Thomas Elliott Dion, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1994. Thomas has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Elliott Dion's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 4, 2020 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 712 Fifth Avenue, New York, NY 10019May 21, 2018 - July 9, 2020
FORESIDE FUND SERVICES, LLC
August 20, 2010 - May 9, 2018
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
September 20, 2007 - August 6, 2010
BNY MELLON SECURITIES CORPORATION
February 5, 2002 - July 30, 2007
VOYA RETIREMENT ADVISORS, LLC
September 10, 1998 - May 16, 2000
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
October 6, 1995 - June 17, 1998
H.C.WAINWRIGHT & CO., LLC
January 4, 1994 - December 7, 1994
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Exams
FINRA
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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