TD
Thomas B. Duffy
FORESIDE FUND SERVICES
Boston, MA 02109
Some features on this profile are disabled
CRD#: 6086460
TD
Professional summary
Thomas Bernard Duffy, CFP®, who also goes by Tom Bernard Duffy, Thomas Bernard Duffy, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Boston, Massachusetts.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2012. Thomas has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tom Bernard Duffy | Thomas Bernard Duffy
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 Thomas Bernard Duffy'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®
Experience
Current
March 28, 2024 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 200 State Street 14th Floor, Boston, MA 02109BD
CRD#: 46106
Boston, MA
Past
March 25, 2014 - August 1, 2022
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
February 15, 2013 - February 18, 2014
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
MERRIMACK, NH
Past
September 5, 2012 - February 14, 2014
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
MERRIMACK, NH
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(3/28/2024)
RR
Alaska(3/28/2024)
RR
Arizona(3/28/2024)
RR
Arkansas(3/28/2024)
RR
California(3/28/2024)
RR
Colorado(3/28/2024)
RR
Connecticut(3/28/2024)
RR
Delaware(3/28/2024)
RR
District of Columbia(3/28/2024)
RR
Florida(3/28/2024)
RR
Georgia(3/28/2024)
RR
Hawaii(3/28/2024)
RR
Idaho(3/28/2024)
RR
Illinois(3/28/2024)
RR
Indiana(3/28/2024)
RR
Iowa(3/28/2024)
RR
Kansas(3/28/2024)
RR
Kentucky(3/28/2024)
RR
Louisiana(3/28/2024)
RR
Maine(3/28/2024)
RR
Maryland(3/28/2024)
RR
Massachusetts(3/28/2024)
RR
Michigan(3/28/2024)
RR
Minnesota(3/28/2024)
RR
Mississippi(3/28/2024)
RR
Missouri(3/28/2024)
RR
Montana(3/28/2024)
RR
Nebraska(3/28/2024)
RR
Nevada(3/28/2024)
RR
New Hampshire(3/28/2024)
RR
New Jersey(3/28/2024)
RR
New Mexico(3/28/2024)
RR
New York(3/28/2024)
RR
North Carolina(3/28/2024)
RR
North Dakota(3/28/2024)
RR
Ohio(3/28/2024)
RR
Oklahoma(3/28/2024)
RR
Oregon(3/28/2024)
RR
Pennsylvania(3/28/2024)
RR
Rhode Island(3/28/2024)
RR
South Carolina(3/28/2024)
RR
South Dakota(3/28/2024)
RR
Tennessee(3/28/2024)
RR
Texas(3/28/2024)
RR
Utah(3/28/2024)
RR
Vermont(3/28/2024)
RR
Virginia(3/28/2024)
RR
Washington(3/28/2024)
RR
West Virginia(3/28/2024)
RR
Wisconsin(3/28/2024)
RR
Wyoming(3/28/2024)
Exams
State Security Law Exam
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)
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.
Company Information
FORESIDE FUND SERVICES, LLC
CRD#: 46106Boston, MA 02109TRUST BUT VERIFY
Monitor Thomas Duffy
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
