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Thomas Forte

Maxim Group LLC

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About Thomas Forte

Thomas Forte is a registered representative with Maxim Group LLC. Thomas has been in the securities industry since 2002. Thomas holds the Series 7, 86, and 87 securities licenses. In addition to the Series 63, Thomas holds the Series SIE. Thomas previously worked with D.A. Davidson & Co., Maxim Group LLC, Brean Capital, LLC, Telsey Advisory Group LLC, Pulse Trading, Inc., Saxony Securities, Inc., William Blair & Company L.L.C., and Nesbitt Burns Securities Inc. Thomas is registered with the state of New York.

Firm Information

Thomas Forte is currently registered with Maxim Group LLC. Maxim Group LLC is a Limited Liability Company formed in April 2002 and is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been approved for one SEC registration and 53 state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

70

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 Forte’s Registration & Firm History

NY

04/15/2024 - Present

Maxim Group LLC (NEW YORK NY)

NY

07/26/2017 - 12/14/2023

D.A. DAVIDSON & CO. (NEW YORK NY)

NY

04/27/2016 - 08/22/2017

MAXIM GROUP LLC (NEW YORK NY)

NY

09/02/2014 - 04/15/2016

BREAN CAPITAL, LLC (NEW YORK NY)

NY

03/09/2009 - 07/14/2014

TELSEY ADVISORY GROUP LLC (NEW YORK NY)

NY

07/06/2007 - 12/04/2008

PULSE TRADING, INC. (NEW YORK NY)

MO

08/09/2004 - 10/14/2004

SAXONY SECURITIES, INC. (ST. LOUIS MO)

IL

04/27/1998 - 08/19/2002

WILLIAM BLAIR & COMPANY L.L.C. (CHICAGO IL)

IL

06/25/1997 - 04/01/1998

NESBITT BURNS SECURITIES INC. (CHICAGO IL)

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Licenses & Designations

BC

Issued 06/27/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/23/2008

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 12/12/2007

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 07/05/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Thomas Forte.
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