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Thomas Regazzi

CF Secured, LLC

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About Thomas Regazzi

Thomas Regazzi is a securities professional with over 17 years of experience in the financial industry. Thomas is currently registered with Cf Secured, LLC and Cantor Fitzgerald & Co. in New York. Thomas holds several licenses including Series 4, 7, 24, 63 and 65. Thomas has previously worked at UBS Securities LLC, Barclays Capital Inc., Lehman Brothers Inc., Citigroup Global Markets Inc., and CITICORP SECURITIES SERVICES, INC. In addition to his industry experience, Thomas has a strong educational background.

Firm Information

Thomas Regazzi is currently registered with CF Secured, LLC. CF Secured, LLC is a Limited Liability Company formed on September 16, 2016, registered in all 50 states and the District of Columbia. The firm is also registered with the Securities and Exchange Commission.

Not reported

Assets Under Management

Not reported

Total Clients

17

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 Regazzi’s Registration & Firm History

NY

12/22/2022 - Present

CF Secured, LLC (JERICHO NY)

NY

05/01/2018 - 07/12/2019

CITICORP SECURITIES SERVICES, INC. (NEW YORK NY)

NY

03/13/2017 - 07/12/2019

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

08/04/2010 - 01/06/2017

UBS SECURITIES LLC (NEW YORK NY)

NY

09/22/2008 - 05/12/2010

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

05/20/2002 - 09/22/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 02/17/2022

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 08/23/2021

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/26/2012

Series 4 - Registered Options Principal Examination

BC

Issued 07/15/2008

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/08/2005

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 05/18/2002

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There are no public disclosures for Thomas Regazzi.
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