Thomas De
Professional Summary
Thomas De, who also goes by Thomas Dey, is a registered financial advisor currently at FOREST ROAD SECURITIES BD LLC located in Los Angeles, California. Thomas is registered as a RR (Registered Representative) and started their career in finance in 2013. Thomas has worked at 1 firm and has passed the Series 63, SIE, Series 79 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas Dey
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
13 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
ABOUT CORPORATE FINANCE CORPORATION | FOUNDATION MARKETS CORPORATION | FOREST ROAD SECURITIES BD LLC | ACF BD LLC
Contact Information
Main Address
1925 Century Park East Suite 1360, Los Angeles, CA 90067Mailing Address
1925 Century Park East Suite 1360, Los Angeles, CA 90067Phone Number
(646) 923-7444Established
New York since 01/22/2024Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (2 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(2/24/2016)
(9/19/2016)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Feb 2013About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas De's CRS (Customer Relationship Summary).
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