Thomas F. Shallcross
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 Frederick Shallcross, who also goes by Tim Shallcross, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 16 firms and has passed the Series 63, SIE, 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
October 14, 2014 - February 2, 2015
CANTOR FITZGERALD & CO.
April 22, 2014 - August 20, 2014
BARCLAY INVESTMENTS LLC
May 3, 2013 - March 7, 2014
MAREX CAPITAL MARKETS INC.
November 21, 2007 - April 12, 2013
NAVIGATE ADVISORS
December 7, 2006 - November 19, 2007
MF GLOBAL INC.
August 30, 2004 - October 26, 2006
NOMURA SECURITIES INTERNATIONAL, INC.
September 23, 2003 - September 8, 2004
ROSENTHAL GLOBAL SECURITIES LLC
March 17, 2003 - September 12, 2003
DAIWA CAPITAL MARKETS AMERICA INC.
March 25, 1998 - March 11, 2003
BNP PARIBAS SECURITIES CORP.
May 30, 1997 - December 11, 1997
SANWA UNIVERSAL SECURITIES CO., LLC
May 30, 1997 - December 11, 1997
SANWA SECURITIES (USA) CO., L.P.
May 2, 1996 - May 22, 1997
CREDIT SUISSE SECURITIES (USA) LLC
January 27, 1995 - April 26, 1996
UBS SECURITIES LLC
March 31, 1994 - January 26, 1995
J.P. MORGAN SECURITIES LLC
July 25, 1987 - March 1, 1994
MERRILL LYNCH GOVERNMENT SECURITIES INC.
April 19, 1984 - March 1, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
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