Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Harkins is a financial professional with over 14 years of experience in the financial services industry. Thomas is currently registered with Foreside Fund Services, LLC, and previously worked with several other firms including BD Compliance Solutions, LLC and Foreside Associates, LLC. Thomas holds the Series 7, 27, 63, 99TO and SIE licenses.
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.
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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ME
12/07/2017 - Present
Foreside Fund Services, LLC (PORTLAND ME)
PA
01/29/2018 - 11/14/2019
BD COMPLIANCE SOLUTIONS, LLC (Berwyn PA)
PA
01/29/2018 - 11/14/2019
FORESIDE ASSOCIATES, LLC (Berwyn PA)
PA
01/29/2018 - 11/14/2019
FORESIDE DISTRIBUTION SERVICES, L.P. (Berwyn PA)
PA
01/29/2018 - 11/14/2019
FORESIDE INVESTMENT SERVICES, LLC (Berwyn PA)
PA
01/29/2018 - 11/14/2019
FUNDS DISTRIBUTOR, LLC (Berwyn PA)
PA
01/29/2018 - 11/14/2019
IMST DISTRIBUTORS, LLC (BERWYN PA)
PA
01/29/2018 - 11/14/2019
NORTHERN FUNDS DISTRIBUTORS, LLC (Berwyn PA)
PA
01/29/2018 - 11/14/2019
ORBIS INVESTMENTS (U.S.), LLC (Berywn PA)
PA
01/29/2018 - 11/14/2019
PNC FUNDS DISTRIBUTOR, LLC (BERWYN PA)
PA
01/29/2018 - 11/14/2019
VT DISTRIBUTORS LLC (Berwyn PA)
PA
12/13/2017 - 11/14/2019
FORESIDE FINANCIAL SERVICES, LLC (Berywn PA)
PA
01/19/2012 - 11/14/2019
FAIRHOLME DISTRIBUTORS, LLC (BERWYN PA)
PA
01/19/2012 - 11/14/2019
FORESIDE GLOBAL SERVICES, LLC (BERWYN PA)
ME
01/19/2012 - 11/14/2019
MGI FUNDS DISTRIBUTORS, LLC (PORTLAND ME)
ME
01/19/2012 - 11/14/2019
STERLING CAPITAL DISTRIBUTORS, LLC (PORTLAND ME)
ME
08/09/2010 - 11/14/2019
FORESIDE FUNDS DISTRIBUTORS LLC (PORTLAND ME)
NJ
11/17/1994 - 01/30/1996
INVESTMENT ADVISORS & CONSULTANTS, INC. (WEST LONG BRANCH NJ)
NY
06/16/1994 - 08/18/1994
L.C. WEGARD & CO., INC. (NEW YORK NY)
BC
Issued 06/10/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/07/2010
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/13/2012
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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