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TH

Thomas R. Harkins

FORESIDE FUND SERVICES
PORTLAND, ME 04101
Some features on this profile are disabled
CRD#: 2464449
TH

Professional summary

Thomas Robert Harkins is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1994. Thomas has worked at 19 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 27 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 Robert Harkins's CRS (Customer Relationship Summary).
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

December 7, 2017 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 46106
PORTLAND, ME
Past

January 29, 2018 - November 14, 2019

SMEAD FUNDS DISTRIBUTORS, LLC

BD
CRD#: 173734
Berwyn, PA
Past

January 29, 2018 - November 14, 2019

FORESIDE DISTRIBUTION SOLUTIONS, LLC

BD
CRD#: 118787
BERWYN, PA
Past

January 29, 2018 - November 14, 2019

ORBIS INVESTMENTS (U.S.), LLC

BD
CRD#: 172663
Berywn, PA
Past

January 29, 2018 - November 14, 2019

NORTHERN FUNDS DISTRIBUTORS, LLC

BD
CRD#: 45943
Berwyn, PA
Past

January 29, 2018 - November 14, 2019

IMST DISTRIBUTORS, LLC

BD
CRD#: 130745
BERWYN, PA
Past

January 29, 2018 - November 14, 2019

FUNDS DISTRIBUTOR, LLC

BD
CRD#: 7174
Berwyn, PA
Past

January 29, 2018 - November 14, 2019

FORESIDE INVESTMENT SERVICES, LLC

BD
CRD#: 30016
Berwyn, PA
Past

January 29, 2018 - November 14, 2019

FORESIDE DISTRIBUTION SERVICES, L.P.

BD
CRD#: 15634
Berwyn, PA
Past

January 29, 2018 - November 14, 2019

FORESIDE ASSOCIATES, LLC

BD
CRD#: 13494
Berwyn, PA
Past

January 29, 2018 - November 14, 2019

BD COMPLIANCE SOLUTIONS, LLC

BD
CRD#: 30188
Berwyn, PA
Past

December 13, 2017 - November 14, 2019

FORESIDE FINANCIAL SERVICES, LLC

BD
CRD#: 148477
Berywn, PA
Past

January 19, 2012 - November 14, 2019

STERLING CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 103934
PORTLAND, ME
Past

January 19, 2012 - November 14, 2019

MGI FUNDS DISTRIBUTORS, LLC

BD
CRD#: 35682
PORTLAND, ME
Past

January 19, 2012 - November 14, 2019

FORESIDE GLOBAL SERVICES, LLC

BD
CRD#: 147382
BERWYN, PA
Past

January 19, 2012 - November 14, 2019

FAIRHOLME DISTRIBUTORS, LLC

BD
CRD#: 150987
BERWYN, PA
Past

August 9, 2010 - November 14, 2019

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
PORTLAND, ME
Past

November 17, 1994 - January 30, 1996

INVESTMENT ADVISORS & CONSULTANTS, INC.

BD
CRD#: 7996
WEST LONG BRANCH, NJ
Past

June 16, 1994 - August 18, 1994

L.C. WEGARD & CO., INC.

BD
CRD#: 3722
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/10/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/13/2012
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 8/7/2010
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FORESIDE FUND SERVICES, LLC
FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC

CRD#: 46106 / SEC#: , 8-51293

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

Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(207) 553-7110
Established
Delaware since 09/08/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS, LLCSOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKIPRES/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145
STROUT, ALICIA KIMBERLYCHIEF COMPLIANCE OFFICER/VICE PRESIDENT6320351

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

FORESIDE FUND SERVICES, LLC

CRD#: 46106Portland, ME 04101

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