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Theodore V. Yeo

FORESIDE FUND SERVICES
Fort Lauderdale, FL 33301
Some features on this profile are disabled
CRD#: 4613570
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Professional summary

Theodore Van Tassel Yeo, who also goes by Theodore V Yeo, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Fort Lauderdale, Florida.

Theodore is registered as a RR (Registered Representative) and started their career in finance in 2003. Theodore has worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Theodore V Yeo

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 Theodore Van Tassel Yeo'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

May 23, 2022 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 350 East Las Olas Boulevard 18th Floor, Fort Lauderdale, FL 33301
BD
CRD#: 46106
Fort Lauderdale, FL
Past

January 27, 2017 - October 29, 2021

BLUE OWL SECURITIES

BD
CRD#: 283250
NEW YORK, NY
Past

January 5, 2016 - January 17, 2017

NORTHSTAR SECURITIES, LLC

BD
CRD#: 150409
GREENWOOD VILLAGE, CO
Past

May 16, 2012 - January 7, 2016

RESOURCE SECURITIES LLC

BD
CRD#: 133022
PHILADELPHIA, PA
Past

January 9, 2012 - April 12, 2012

GRIFFIN CAPITAL SECURITIES, LLC

BD
CRD#: 37739
IRVINE, CA
Past

June 15, 2011 - January 6, 2012

GRUBB & ELLIS CAPITAL CORPORATION

BD
CRD#: 151226
SANTA ANA, CA
Past

February 1, 2010 - June 14, 2011

TOUCHSTONE SECURITIES, INC.

BD
CRD#: 1526
CINCINNATI, OH
Past

June 7, 2005 - September 21, 2009

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
HARTFORD, CT
Past

August 18, 2003 - June 1, 2005

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
HOUSTON, TX
Past

March 10, 2003 - July 24, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
ROSEMONT, IL
Past

February 25, 2003 - July 24, 2003

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

February 25, 2003 - July 24, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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
Illinois
(5/23/2022)
RR
Indiana
(5/23/2022)
RR
Iowa
(8/20/2025)
RR
Michigan
(5/23/2022)
RR
Minnesota
(8/20/2025)
RR
Missouri
(8/20/2025)
RR
Wisconsin
(5/23/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/8/2003
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 7
Date: 2/24/2003
General Securities Representative 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#: 46106Fort Lauderdale, FL 33301

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