Thomas E. Dion
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 Elliott Dion, who also goes by Thomas Elliott Dion, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1994. Thomas had 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2020 - April 23, 2026
FORESIDE FUND SERVICES, LLC
May 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
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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