Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Smith has been active in the financial industry since 1985. Thomas is currently registered with Cantor Fitzgerald & Co. Previously, Thomas was registered with UBS Securities LLC, SBC Warburg Dillon Read Inc., SBC Warburg, Inc., S.G. Warburg & Co. Inc., and PaineWebber Incorporated. Thomas holds licenses Series 3, 4, 7, 8, 9, 10, 24, 55, 57TO and SIE. Thomas has a total of 52 state registrations.
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.
1
2
NY
05/15/2018 - Present
Cantor Fitzgerald & Co. (NEW YORK NY)
NY
06/29/1998 - 02/15/2018
UBS SECURITIES LLC (NEW YORK NY)
CT
09/02/1997 - 06/29/1998
SBC WARBURG DILLON READ INC. (STAMFORD CT)
NY
06/03/1996 - 09/02/1997
SBC WARBURG, INC. (NEW YORK NY)
NY
09/14/1988 - 06/03/1996
S.G. WARBURG & CO. INC. (NEW YORK NY)
NA
09/24/1985 - 10/04/1988
PAINEWEBBER INCORPORATED
BC
Issued 11/13/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/20/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/25/1993
Series 24 - General Securities Principal Examination
BC
Issued 11/19/1990
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/13/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 01/07/1987
Series 3 - National Commodity Futures Examination
BC
Issued 09/21/1985
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
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