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TD

Thomas De

FOREST ROAD SECURITIES BD LLC
LOS ANGELES, CA 90067
Some features on this profile are disabled
CRD#: 6140148
TD

Professional summary

Thomas De, who also goes by Thomas Dey, is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas Dey

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas De'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®
None

Experience

Current

February 15, 2013 - Present

FOREST ROAD SECURITIES BD LLC

Office #1: 1925 Century Park East Suite 1360, Los Angeles, CA 90067Office #2: 1925 Century Park East Suite 1360, Los Angeles, CA 90067
BD
CRD#: 148232
LOS ANGELES, 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
California
(2/24/2016)
RR
New York
(9/19/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 2/24/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 2/14/2013
Investment Banking Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/26/2013
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FR
FOREST ROAD SECURITIES BD LLC
ABOUT CORPORATE FINANCE CORPORATION | FOUNDATION MARKETS CORPORATION | FOREST ROAD SECURITIES BD LLC | ACF BD LLC

CRD#: 148232 / SEC#: , 8-67993

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
1925 Century Park East Suite 1360, Los Angeles, CA 90067
Mailing Address
1925 Century Park East Suite 1360, Los Angeles, CA 90067
Phone number
(646) 923-7444
Established
New York since 01/22/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FOREST ROAD ACF HOLDINGS, LLCOWNER
MANZO, MARK THOMASCFO, FINOP, PFO, POO1229739
TARICA, JEREMY SCOTTCEO, CCO6347089

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

FOREST ROAD SECURITIES BD LLC

CRD#: 148232Los Angeles, CA 90067

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