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Thomas Michael Grimes

Foreside Fund Services, LLC

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About Thomas Michael Grimes

Thomas Grimes is a financial professional with over 25 years of experience in the financial services industry. He has a strong background in both broker-dealer and investment advisory services. Thomas holds the Series 7, Series 6, and Series 63 licenses, as well as the Series 65 license. Thomas is currently registered with Foreside Fund Services, LLC. Previously, he was registered with W. H. Reaves & Co., Inc. and Waller Capital Corporation. Thomas is a highly skilled and knowledgeable advisor, and he is committed to providing his clients with the best possible service.

Firm Information

Thomas Grimes 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 Grimes’s Registration & Firm History

NJ

04/22/2019 - Present

Foreside Fund Services, LLC (Jersey City NJ)

NJ

02/03/2014 - 04/17/2019

W. H. REAVES & CO., INC. (JERSEY CITY NJ)

NJ

06/25/1993 - 01/18/2005

W. H. REAVES & CO., INC. (JERSEY CITY NJ)

NY

01/14/1991 - 03/10/1993

WALLER CAPITAL CORPORATION (NEW YORK NY)

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Licenses & Designations

BC

Issued 05/07/2019

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 03/25/2014

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/02/2019

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/03/2014

Series 6 - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 10/15/1988

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Michael Grimes.
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