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Thomas Elliott Dion

Foreside Fund Services, LLC

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About Thomas Elliott Dion

Thomas Elliott Dion is a financial advisor with over 25 years of experience in the financial services industry. Thomas is currently registered with Foreside Fund Services, LLC in New York, NY. Previously, Thomas worked for STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC in Boston, MA and MBSC SECURITIES CORPORATION in San Francisco, CA. Thomas is a Series 63 and Series 65 licensed advisor, and holds the SIE, Series 3, and Series 7 licenses.

Firm Information

Thomas Dion is currently registered with Foreside Fund Services, LLC. Foreside Fund Services, LLC is a Limited Liability Company formed in 1998. It is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. It has also been approved for SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

625

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Thomas Dion’s Registration & Firm History

NY

12/04/2020 - Present

Foreside Fund Services, LLC (New York NY)

MA

05/21/2018 - 07/09/2020

FORESIDE FUND SERVICES, LLC (Boston MA)

MA

08/20/2010 - 05/09/2018

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC (Boston MA)

CA

09/20/2007 - 08/06/2010

MBSC SECURITIES CORPORATION (SAN FRANCISCO CA)

MA

02/05/2002 - 07/30/2007

CITISTREET ADVISORS LLC (QUINCY MA)

WA

09/10/1998 - 05/16/2000

RUSSELL FUND DISTRIBUTORS, INC. (SEATTLE WA)

NY

10/06/1995 - 06/17/1998

H.C. WAINWRIGHT & CO., INC. (NEW YORK NY)

NY

01/04/1994 - 12/07/1994

SMITH BARNEY INC. (NEW YORK NY)

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Licenses & Designations

IA

Issued 04/15/1996

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/12/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/10/2012

Series 3 - National Commodity Futures Examination

BC

Issued 01/03/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Elliott Dion.
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