TD
Thomas J. Driscoll
FORESIDE FUND SERVICES
New York, NY 10158
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CRD#: 2817622
TD
Professional summary
Thomas Jude Driscoll, who also goes by Thomas Jude Driscoll Jr, Thomas J Driscoll, 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 1996. Thomas has worked at 7 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Thomas Jude Driscoll Jr | Thomas J Driscoll
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.
CRS (Client Relationship Summary) - BD
Click below to view Thomas Jude Driscoll's 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®
NoneExperience
Current
March 30, 2021 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 605 Third Avenue 43rd Floor, New York, NY 10158BD
CRD#: 46106
New York, NY
Past
November 5, 2019 - January 28, 2021
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
BOSTON, MA
Past
December 10, 2010 - December 31, 2020
GSAM STRATEGIST PORTFOLIOS, LLC
RIA
CRD#: 109683
NEW YORK, NY
Past
July 12, 2001 - October 21, 2002
GUGGENHEIM DISTRIBUTORS, LLC
BD
CRD#: 40805
ROCKVILLE, MD
Past
December 5, 2000 - June 20, 2001
MFS FUND DISTRIBUTORS, INC.
BD
CRD#: 31052
BOSTON, MA
Past
July 7, 1997 - November 27, 2000
NATIXIS DISTRIBUTION, LLC
BD
CRD#: 34754
BOSTON, MA
Past
December 16, 1996 - June 12, 1997
DEAM INVESTOR SERVICES, INC.
BD
CRD#: 754
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/30/2021)
RR
Alaska(3/30/2021)
RR
Arizona(3/30/2021)
RR
Arkansas(3/30/2021)
RR
California(3/30/2021)
RR
Colorado(3/30/2021)
RR
Connecticut(3/30/2021)
RR
Delaware(3/30/2021)
RR
District of Columbia(3/30/2021)
RR
Florida(3/30/2021)
RR
Georgia(3/30/2021)
RR
Hawaii(3/30/2021)
RR
Idaho(3/30/2021)
RR
Illinois(3/30/2021)
RR
Indiana(3/30/2021)
RR
Iowa(3/30/2021)
RR
Kansas(3/30/2021)
RR
Kentucky(3/30/2021)
RR
Louisiana(3/30/2021)
RR
Maine(3/30/2021)
RR
Maryland(3/30/2021)
RR
Massachusetts(3/30/2021)
RR
Michigan(3/30/2021)
RR
Minnesota(3/30/2021)
RR
Mississippi(3/30/2021)
RR
Missouri(3/30/2021)
RR
Montana(3/30/2021)
RR
Nebraska(3/30/2021)
RR
Nevada(3/30/2021)
RR
New Hampshire(3/30/2021)
RR
New Jersey(3/30/2021)
RR
New Mexico(3/30/2021)
RR
New York(3/30/2021)
RR
North Carolina(3/30/2021)
RR
North Dakota(3/30/2021)
RR
Ohio(3/30/2021)
RR
Oklahoma(3/30/2021)
RR
Oregon(3/30/2021)
RR
Pennsylvania(3/30/2021)
RR
Puerto Rico(3/30/2021)
RR
Rhode Island(3/30/2021)
RR
South Carolina(3/30/2021)
RR
South Dakota(3/30/2021)
RR
Tennessee(3/30/2021)
RR
Texas(3/30/2021)
RR
Utah(3/30/2021)
RR
Vermont(3/30/2021)
RR
Virgin Islands(3/30/2021)
RR
Virginia(3/30/2021)
RR
Washington(3/30/2021)
RR
West Virginia(3/30/2021)
RR
Wisconsin(3/30/2021)
RR
Wyoming(3/30/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/5/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
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)
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
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.
