Thomas M. Quane
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Michael Quane, who also goes by Thomas Muchael Quane, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1992. Thomas had worked at 12 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2017 - August 12, 2020
SUNRISE BROKERS LLC
June 26, 2017 - August 12, 2020
CF SECURED, LLC
October 28, 2016 - May 27, 2020
CFWP SECURITIES, LLC
October 28, 2016 - August 12, 2020
MINT BROKERS
October 28, 2016 - August 12, 2020
GFI SECURITIES LLC
October 28, 2016 - August 12, 2020
FMX EXECUTION, LLC
October 28, 2016 - August 12, 2020
BGC FINANCIAL, L.P.
October 28, 2016 - August 12, 2020
AQUA SECURITIES L.P.
July 1, 2009 - August 12, 2020
CANTOR FITZGERALD & CO.
October 7, 2005 - April 27, 2009
J.P. MORGAN SECURITIES LLC
January 13, 2001 - January 21, 2005
DEUTSCHE BANK SECURITIES INC.
April 8, 1992 - January 13, 2001
DB ALEX. BROWN LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SUNRISE BROKERS LLC
CRD#: 151012 / SEC#: , 8-68325
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SBL SUNRISE BROKERS LIMITED | MEMBER | |
| BGC PARTNERS, L.P. | MANAGING MEMBER | |
| AUBIN, JEAN PIERRE | CHIEF EXECUTIVE OFFICER | 5596046 |
| BISGAY, STEVEN | CHIEF FINANCIAL OFFICER/FINOP/PRINCIPAL FINANCIAL OFFICER | 4424156 |
| IATAURO, KRISTI LYNN | CHIEF OPERATIONS OFFICER/ PRINCIPAL OPERATIONS OFFICER | 4280146 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER & SECRETARY | 2380166 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
