Thomas F. Forte
Professional summary
Thomas Ferris Forte, who also goes by Thomas Ferris Forte, is a registered financial professional currently at MAXIM GROUP LLC located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1997. Thomas has worked at 9 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Ferris Forte's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 15, 2024 - Present
MAXIM GROUP LLC
Office #1: 300 Park Ave 16th Floor, New York, NY 10022July 26, 2017 - December 14, 2023
D.A. DAVIDSON & CO.
April 27, 2016 - August 22, 2017
MAXIM GROUP LLC
September 2, 2014 - April 15, 2016
BREAN CAPITAL, LLC
June 12, 2009 - May 2, 2011
TELSEY HOLDINGS LLC
March 9, 2009 - July 14, 2014
TELSEY ADVISORY GROUP LLC
July 6, 2007 - December 4, 2008
PULSE TRADING, INC.
August 9, 2004 - October 14, 2004
SAXONY SECURITIES, INC.
April 27, 1998 - August 19, 2002
WILLIAM BLAIR
June 25, 1997 - April 1, 1998
HARRIS NESBITT CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/15/2024)
Exams
FINRA
Nasdaq Stock Market
Current Firm
MAXIM GROUP LLC
CRD#: 120708 / SEC#: , 8-65337
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAXIM PARTNERS LLC | MEMBER | |
| EVANS, TIPTON HAMLIN | CHIEF COMPLIANCE OFFICER | 6118339 |
| FIORE, CHRISTOPHER JAMES | CO-PRESIDENT, DIRECTOR OF CAPITAL MARKETS | 2269479 |
| GLASSBERG, LAWRENCE COOPER | CO-HEAD OF INVESTMENT BANKING | 4813201 |
| LAROSA, PAUL GEORGE | HEAD OF SYNDICATE/ACTING DIRECTOR OF ASSET MANAGEMENT | 1900695 |
| MESSINGER, MICHAEL SPENCER | MSP | 1403506 |
| MURPHY, TIMOTHY GERARD | FINOP/CFO | 1836629 |
| SIEGEL, JAMES EDWARD | GENERAL COUNSEL | 4490472 |
| TELLER, CLIFFORD ADAM | CHIEF EXECUTIVE OFFICER/CHAIRMAN | 4631188 |
| VEERA, RITESH MOTILAL | CO-HEAD OF INVESTMENT BANKING | 4994814 |
| VENDETTI, ANTHONY VINCENT | DIRECTOR OF RESEARCH | 2574608 |
| VITALE, WILLIAM CHRISTIAN | DIRECTOR OF TRADING | 2669953 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 1 |
Red Flags
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