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TF

Thomas R. Foley

VAN ECK SECURITIES
New York, NY 10017
Some features on this profile are disabled
CRD#: 4409754
TF

Professional summary

Thomas Richard Foley, who also goes by Tom Foley, is a registered financial professional currently at VAN ECK SECURITIES CORPORATION located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2001. Thomas has worked at 6 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tom Foley

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 Richard Foley'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®
None

Experience

Current

April 19, 2012 - Present

VAN ECK SECURITIES CORPORATION

Office #1: 666 Third Avenue 9th Floor, New York, NY 10017
BD
CRD#: 2269
New York, NY
Past

December 1, 2009 - April 4, 2012

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

January 20, 2006 - June 17, 2009

LORD, ABBETT & CO. LLC

RIA
CRD#: 110391
JERSEY CITY, NJ
Past

January 20, 2006 - June 17, 2009

LORD ABBETT DISTRIBUTOR LLC

BD
CRD#: 530
JERSEY CITY, NJ
Past

July 19, 2004 - January 4, 2006

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

December 13, 2001 - September 17, 2002

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

BD
CRD#: 15356
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
New Jersey
(4/19/2012)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/29/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 11/10/2004
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 8/27/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/12/2001
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VE
VAN ECK SECURITIES CORPORATION
I. I. I. SECURITIES CORPORATION | VE | VANECK | VAN ECK SECURITIES CORPORATION

CRD#: 2269 / SEC#: , 8-4618

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

Main Address
666 Third Avenue 9th Floor, New York, NY 10017-4033
Mailing Address
666 Third Avenue 9th Floor, New York, NY 10017-4033
Phone number
(212) 293-2000
Established
Delaware since 08/01/1955
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
VAN ECK ASSOCIATES CORPORATION100% OWNER & PARENT
GOZZILLO, FRANCESCO MICHAELCHIEF COMPLIANCE OFFICER2099916
RAPPAPORT, LEE ROBERTVICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, OPERATIONS PRINCIPAL (FINOP) AND DIRECTOR4682842
SIMON, JONATHAN RICHSENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY AND DIRECTOR5313394
VANECK, JAN FREDERICKPRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR1695680

Disclosures

Regulatory Event2

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

VAN ECK SECURITIES CORPORATION

CRD#: 2269New York, NY 10017

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