Lon L. Pastuch
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.
Lon Louis Pastuch was a registered financial professional .
Lon is a previously registered financial professional and started their career in finance in 1983. Lon had worked at 17 firms and has passed the Series 63, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2008 - January 27, 2014
CANTOR FITZGERALD & CO.
October 5, 2006 - October 1, 2007
ICAP SECURITIES USA LLC
July 14, 2004 - September 12, 2005
IMPERIAL CAPITAL, LLC
February 11, 2004 - July 8, 2004
KAUPTHING SECURITIES, INC.
October 30, 2003 - December 4, 2003
CITIGROUP GLOBAL MARKETS INC.
May 29, 2001 - August 7, 2003
INTL FCSTONE CREDIT TRADING LLC
February 4, 1999 - March 30, 2001
BANK AUSTRIA SECURITIES, INC.
July 29, 1998 - January 21, 1999
INTERCAPITAL INTERNATIONAL INC.
July 29, 1998 - January 21, 1999
INTERCAPITAL GOVERNMENT SECURITIES INC.
June 29, 1998 - July 28, 1998
UBS SECURITIES LLC
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
December 20, 1996 - September 2, 1997
SBC WARBURG, INC.
March 12, 1993 - August 2, 1995
NATWEST INTERNATIONAL SECURITIES INC.
May 29, 1990 - November 27, 1992
WESTMINSTER RESEARCH ASSOCIATES LLC
March 3, 1987 - June 12, 1990
HSBC BROKERAGE (USA) INC.
January 7, 1986 - January 19, 1987
ADVEST, INC.
June 22, 1983 - January 10, 1986
GRUNTAL & CO., L.L.C.
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
CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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