Thomas J. Hoerner
Professional summary
Thomas Joseph Hoerner JR, who also goes by Thomas Hoerner, Thomas Joseph Hoerner, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Fort Lauderdale, Florida.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2006. Thomas has worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 3 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Joseph Hoerner JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 20, 2018 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 350 East Las Olas Boulevard 18th Floor, Fort Lauderdale, FL 33301February 24, 2017 - September 17, 2018
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
December 4, 2014 - January 3, 2017
SAGE ADVISORY SERVICES LTD CO
January 12, 2011 - July 3, 2014
GOLDMAN SACHS & CO. LLC
June 4, 2009 - December 20, 2010
LPL FINANCIAL LLC
June 4, 2009 - December 20, 2010
LPL FINANCIAL LLC
December 14, 2007 - March 26, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 14, 2007 - March 26, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 4, 2007 - December 18, 2007
USAA FINANCIAL PLANNING SERVICES
May 4, 2007 - December 18, 2007
USAA FINANCIAL ADVISORS, INC.
March 26, 2007 - April 3, 2007
WELLS FARGO CLEARING SERVICES, LLC
June 27, 2006 - April 3, 2007
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/5/2021)
(11/20/2018)
(10/22/2025)
(1/5/2021)
(1/2/2020)
(11/20/2018)
(10/22/2025)
(1/2/2020)
(11/20/2018)
(1/5/2021)
(11/20/2018)
(1/2/2025)
(1/2/2020)
(1/5/2021)
(11/20/2018)
(10/22/2025)
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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Company Information
FORESIDE FUND SERVICES, LLC
CRD#: 46106Fort Lauderdale, FL 33301TRUST BUT VERIFY
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