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Christopher Terrence Thom

Loop Capital Markets LLC

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About Christopher Terrence Thom

Christopher Thom is a financial advisor with over 15 years of experience in the industry. Christopher has worked for several firms over the years including Topeka Capital Markets Inc., Xzerta Trading, LLC, Auriga USA, LLC, Cohen & Company Capital Markets, LLC, Capstone Investments, Bright Trading, LLC, Prudential Securities Incorporated and Dean Witter Reynolds Inc. Christopher is currently registered with Loop Capital Markets LLC in Milwaukee, Wisconsin. Christopher is licensed to provide securities and investment advisory services in the state of Wisconsin.

Firm Information

Christopher Thom is currently registered with Loop Capital Markets LLC. Loop Capital Markets LLC is a Limited Liability Company formed on June 1, 2004. The firm provides a range of advisory services, including transition management services, equity research services, and security ratings. It serves a variety of client types, including corporations, state or municipal government entities, other investment advisors, and pension plans. The firm is registered with the Securities and Exchange Commission and is licensed to conduct business in all 50 states.

Not reported

Assets Under Management

15

Total Clients

123

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.

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transition management services/equity research services

Transition management services/equity research services

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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other

Negotiated fees for research services

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Christopher Thom’s Registration & Firm History

WI

07/08/2016 - Present

Loop Capital Markets LLC (Milwaukee WI)

WI

08/17/2012 - 06/03/2016

TOPEKA CAPITAL MARKETS INC. (Grafton WI)

NY

05/10/2012 - 06/07/2012

XZERTA TRADING, LLC (NEW YORK NY)

NY

03/09/2012 - 06/07/2012

AURIGA USA, LLC (NEW YORK NY)

WI

02/25/2011 - 03/27/2012

COHEN & COMPANY CAPITAL MARKETS, LLC (MILWAUKEE WI)

WI

01/27/2010 - 02/25/2011

CAPSTONE INVESTMENTS (MILWAUKEE WI)

NV

05/23/2008 - 10/02/2009

BRIGHT TRADING, LLC (HENDERSON NV)

NY

04/19/2000 - 06/19/2001

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

01/06/1998 - 05/17/2000

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

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Licenses & Designations

BC

Issued 02/08/2010

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 05/27/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/21/2008

Series 7 - General Securities Representative Examination

BC

Issued 02/02/1998

Series 31 - Futures Managed Funds Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Christopher Terrence Thom.
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