NT
Nicholas S. Tan
FORESIDE FINANCIAL SERVICES
New York, NY 10020
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CRD#: 6787483
NT
Professional summary
Nicholas S Tan, who also goes by Nicholas S Tan, Nicholas Tan, Nick Tan, is a registered financial professional currently at FORESIDE FINANCIAL SERVICES, LLC located in New York, New York.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2017. Nicholas has worked at 4 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nicholas S Tan | Nicholas Tan | Nick Tan
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 Nicholas S Tan'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
February 16, 2024 - Present
FORESIDE FINANCIAL SERVICES, LLC
Office #1: 600 Fifth Avenue Suite 200, New York, NY 10020BD
CRD#: 148477
New York, NY
Past
October 6, 2021 - December 31, 2023
GAM SERVICES, INC.
BD
CRD#: 25631
NEW YORK, NY
Past
September 17, 2018 - October 4, 2021
CONNING INVESTMENT PRODUCTS, INC.
BD
CRD#: 120387
NEW YORK, NY
Past
August 12, 2017 - August 27, 2018
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
Chicago, IL
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(2/16/2024)
RR
Alaska(2/16/2024)
RR
Arizona(2/16/2024)
RR
Arkansas(2/16/2024)
RR
California(2/16/2024)
RR
Colorado(2/16/2024)
RR
Connecticut(2/16/2024)
RR
Delaware(2/16/2024)
RR
District of Columbia(2/16/2024)
RR
Florida(2/16/2024)
RR
Georgia(2/16/2024)
RR
Hawaii(2/16/2024)
RR
Idaho(2/16/2024)
RR
Illinois(2/16/2024)
RR
Indiana(2/16/2024)
RR
Iowa(2/16/2024)
RR
Kansas(2/16/2024)
RR
Kentucky(2/16/2024)
RR
Louisiana(2/16/2024)
RR
Maine(2/16/2024)
RR
Maryland(2/16/2024)
RR
Massachusetts(2/16/2024)
RR
Michigan(2/16/2024)
RR
Minnesota(2/16/2024)
RR
Mississippi(2/16/2024)
RR
Missouri(2/16/2024)
RR
Montana(2/16/2024)
RR
Nebraska(2/16/2024)
RR
Nevada(2/16/2024)
RR
New Hampshire(2/16/2024)
RR
New Jersey(2/16/2024)
RR
New Mexico(2/16/2024)
RR
New York(2/16/2024)
RR
North Carolina(2/16/2024)
RR
North Dakota(2/16/2024)
RR
Ohio(2/16/2024)
RR
Oklahoma(2/16/2024)
RR
Oregon(2/16/2024)
RR
Pennsylvania(2/16/2024)
RR
Rhode Island(2/16/2024)
RR
South Carolina(2/16/2024)
RR
South Dakota(2/16/2024)
RR
Tennessee(2/16/2024)
RR
Texas(2/16/2024)
RR
Utah(2/16/2024)
RR
Vermont(2/16/2024)
RR
Virginia(2/16/2024)
RR
Washington(2/16/2024)
RR
West Virginia(2/16/2024)
RR
Wisconsin(2/16/2024)
RR
Wyoming(2/16/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FORESIDE FINANCIAL SERVICES, LLC
BHIL DISTRIBUTORS, INC. | FORESIDE FINANCIAL SERVICES, LLC | BHIL DISTRIBUTORS, LLC
CRD#: 148477 / SEC#: , 8-68027
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
(866) 251-6920
Established
Delaware since 07/31/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/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 |
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.
