Thomas J. Dunn
Professional summary
Thomas James Dunn, who also goes by Thomas James Dunn, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Scarsdale, 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 66, Series 63, Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas James Dunn's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 20, 2025 - Present
FORESIDE FUND SERVICES, LLC
January 13, 2021 - January 22, 2025
VOYA INVESTMENT MANAGEMENT CO. LLC
September 14, 2020 - January 22, 2025
VOYA INVESTMENTS DISTRIBUTOR, LLC
August 13, 2020 - September 20, 2020
FINALIS SECURITIES LLC
December 15, 2011 - May 8, 2013
BLACKSTONE SECURITIES PARTNERS L.P.
December 11, 2008 - October 13, 2011
VOYA INVESTMENT MANAGEMENT CO. LLC
September 30, 2008 - October 13, 2011
VOYA INVESTMENTS DISTRIBUTOR, LLC
February 16, 2007 - September 29, 2008
EQUITABLE DISTRIBUTORS, LLC
January 19, 1995 - January 16, 2003
CITIGROUP GLOBAL MARKETS INC.
December 7, 1994 - February 20, 2007
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
(6/23/2025)
(6/23/2025)
(6/23/2025)
(7/1/2025)
(6/23/2025)
(6/23/2025)
(6/24/2025)
(6/30/2025)
(6/26/2025)
(6/23/2025)
(6/24/2025)
(6/23/2025)
(6/28/2025)
(6/24/2025)
(6/20/2025)
(6/23/2025)
(6/23/2025)
(6/23/2025)
(6/24/2025)
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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