BT
Brett H. Tomich
FORESIDE FUND SERVICES
El Segundo, CA 90245
Some features on this profile are disabled
CRD#: 5444149
BT
Professional summary
Brett Hawkins Tomich, who also goes by Brett Tomich, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in El Segundo, California.
Brett is registered as a RR (Registered Representative) and started their career in finance in 2008. Brett has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Brett Tomich
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 Brett Hawkins Tomich'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
October 12, 2023 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 100 N Pacific Coast Highway Suite 2050, El Segundo, CA 90245BD
CRD#: 46106
El Segundo, CA
Past
November 17, 2020 - July 31, 2023
WEALTHFORGE SECURITIES, LLC
BD
CRD#: 152550
RICHMOND, VA
Past
January 10, 2014 - May 30, 2018
STRATCAP SECURITIES, LLC
BD
CRD#: 151152
NEW YORK, NY
Past
January 13, 2010 - October 10, 2013
WALTON SECURITIES, INC.
BD
CRD#: 143763
SCOTTSDALE, AZ
Past
November 25, 2008 - April 8, 2009
ORCHARD SECURITIES, LLC
BD
CRD#: 133378
PLEASANT GROVE, UT
Past
February 8, 2008 - May 29, 2008
STIRA CAPITAL MARKETS GROUP, LLC
BD
CRD#: 141277
IRVINE, CA
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(5/7/2024)
RR
Alaska(5/7/2024)
RR
Arizona(5/16/2024)
RR
Arkansas(5/10/2024)
RR
California(10/12/2023)
RR
Colorado(5/8/2024)
RR
Connecticut(5/7/2024)
RR
Delaware(5/17/2024)
RR
District of Columbia(5/17/2024)
RR
Florida(5/8/2024)
RR
Georgia(5/9/2024)
RR
Hawaii(5/14/2024)
RR
Idaho(5/8/2024)
RR
Illinois(5/16/2024)
RR
Indiana(5/13/2024)
RR
Iowa(5/17/2024)
RR
Kansas(5/7/2024)
RR
Kentucky(5/14/2024)
RR
Louisiana(5/8/2024)
RR
Maine(5/8/2024)
RR
Maryland(5/9/2024)
RR
Massachusetts(5/8/2024)
RR
Michigan(5/9/2024)
RR
Minnesota(5/7/2024)
RR
Mississippi(5/7/2024)
RR
Missouri(5/10/2024)
RR
Montana(5/8/2024)
RR
Nebraska(5/7/2024)
RR
Nevada(5/7/2024)
RR
New Hampshire(5/9/2024)
RR
New Jersey(5/7/2024)
RR
New Mexico(5/8/2024)
RR
New York(5/8/2024)
RR
North Carolina(5/7/2024)
RR
North Dakota(5/13/2024)
RR
Ohio(5/8/2024)
RR
Oklahoma(5/8/2024)
RR
Oregon(5/9/2024)
RR
Pennsylvania(5/8/2024)
RR
Rhode Island(5/8/2024)
RR
South Carolina(5/15/2024)
RR
South Dakota(5/7/2024)
RR
Tennessee(5/8/2024)
RR
Texas(5/8/2024)
RR
Utah(5/8/2024)
RR
Vermont(5/7/2024)
RR
Virginia(5/8/2024)
RR
Washington(5/7/2024)
RR
West Virginia(5/9/2024)
RR
Wisconsin(5/7/2024)
RR
Wyoming(5/13/2024)
Exams
State Security Law Exam
General 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.
