DT
Daniel A. Toffolo
FORESIDE FUND SERVICES
Newark, NJ 07102
Some features on this profile are disabled
CRD#: 5973964
DT
Professional summary
Daniel Anthony Toffolo, who also goes by Daniel A Toffolo, Dan Toffolo, Daniel Toffolo, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Newark, New Jersey.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2012. Daniel has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Daniel A Toffolo | Dan Toffolo | Daniel Toffolo
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 Daniel Anthony Toffolo'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
March 23, 2021 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 1 Gateway Center Suite 610, Newark, NJ 07102BD
CRD#: 46106
Newark, NJ
Past
September 14, 2016 - September 28, 2020
FEF DISTRIBUTORS, LLC
BD
CRD#: 46585
NEW YORK, NY
Past
June 19, 2014 - September 9, 2016
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
Past
February 24, 2013 - June 30, 2014
MORGAN STANLEY
RIA
CRD#: 149777
FLORHAM PARK, NJ
Past
December 18, 2012 - June 30, 2014
MORGAN STANLEY
BD
CRD#: 149777
FLORHAM PARK, NJ
Past
September 20, 2012 - November 19, 2012
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MORRISTOWN, NJ
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(3/23/2021)
RR
Alaska(3/23/2021)
RR
Arizona(3/23/2021)
RR
Arkansas(3/23/2021)
RR
California(3/23/2021)
RR
Colorado(3/23/2021)
RR
Connecticut(3/23/2021)
RR
Delaware(3/23/2021)
RR
District of Columbia(3/23/2021)
RR
Florida(3/23/2021)
RR
Georgia(3/23/2021)
RR
Hawaii(3/23/2021)
RR
Idaho(3/23/2021)
RR
Illinois(3/23/2021)
RR
Indiana(3/23/2021)
RR
Iowa(3/23/2021)
RR
Kansas(3/23/2021)
RR
Kentucky(3/23/2021)
RR
Louisiana(3/23/2021)
RR
Maine(3/23/2021)
RR
Maryland(3/23/2021)
RR
Massachusetts(3/23/2021)
RR
Michigan(3/23/2021)
RR
Minnesota(3/23/2021)
RR
Mississippi(3/23/2021)
RR
Missouri(3/23/2021)
RR
Montana(3/23/2021)
RR
Nebraska(3/23/2021)
RR
Nevada(3/23/2021)
RR
New Hampshire(3/23/2021)
RR
New Jersey(3/23/2021)
RR
New Mexico(3/23/2021)
RR
New York(3/23/2021)
RR
North Carolina(3/23/2021)
RR
North Dakota(3/23/2021)
RR
Ohio(3/23/2021)
RR
Oklahoma(3/23/2021)
RR
Oregon(3/23/2021)
RR
Pennsylvania(3/23/2021)
RR
Puerto Rico(3/23/2021)
RR
Rhode Island(3/23/2021)
RR
South Carolina(3/23/2021)
RR
South Dakota(3/23/2021)
RR
Tennessee(3/23/2021)
RR
Texas(3/23/2021)
RR
Utah(3/23/2021)
RR
Vermont(3/23/2021)
RR
Virgin Islands(3/23/2021)
RR
Virginia(3/23/2021)
RR
Washington(3/23/2021)
RR
West Virginia(3/23/2021)
RR
Wisconsin(3/23/2021)
RR
Wyoming(3/23/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
