Alexis E. Thomas

TIGRESS FINANCIAL PARTNERS

New York, NY 10022

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CRD#: 1355135

Professional summary

Alexis Edna Thomas, who also goes by Alexis E Thomas, Alexis Thomas, Alex Edna Thomasgeffrard, Alexis E Thomasgeffrard, Alexis Edna Thomasgeffrard, Alexis Thomasgeffrard, is a registered financial professional currently at TIGRESS FINANCIAL PARTNERS, LLC located in New York, New York.

Alexis is registered as a RR (Registered Representative) and started their career in finance in 1985. Alexis has worked at 6 firms and has passed the Series 63, Series 79TO, Series 52TO, Series 7TO, SIE, Series 7, Series 52, Series 3, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alexis Edna Thomas's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 27, 2021 - Present

TIGRESS FINANCIAL PARTNERS, LLC

Office #1: 410 Park Avenue 12th Floor, New York, NY 10022

RIA

CRD#: 154717

New York, NY

Past

October 2, 2002 - November 1, 2019

THE WILLIAMS CAPITAL GROUP, L.P.

CRD#: 35149

NEW YORK, NY

Past

July 28, 1997 - August 29, 2002

BLAYLOCK & COMPANY, INC.

CRD#: 35669

NEW YORK, NY

Past

January 24, 1994 - February 1, 1994

LM CAPITAL SECURITIES, INC.

CRD#: 30595

WEST PALM BEACH, FL

Past

January 24, 1994 - July 24, 1997

WR LAZARD, LAIDLAW INCORPORATED

CRD#: 6010

NEW YORK, NY

Past

May 14, 1985 - August 15, 1986

CITICORP SECURITIES, INC.

CRD#: 7474

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(10/27/2021)

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

New York Stock Exchange

Current Firm

TIGRESS FINANCIAL PARTNERS, LLC

TIGRESS FINANCIAL PARTNERS LLC | TIGRESS FINANCIAL PARTNERS, LLC

CRD#: 154717 / SEC#: 801-112815, 8-68671

RIA

Registered Investment Advisory firm - SEC (2/21/2024 Terminated)

Florida

Registered Investment Advisory firm - SEC (7/2/2025 Approved)

New York

Registered Investment Advisory firm - SEC (4/27/2018 Terminated)

Texas

Registered Investment Advisory firm - SEC (11/15/2023 Conditional Restricted)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

410 Park Avenue 12th Floor, New York, NY 10022

Mailing Address

410 Park Avenue 12th Floor, New York, NY 10022

Phone number

(212) 430-8750

Established

Delaware since 05/26/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (35 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
TIGRESS HOLDINGS LLC	MAJORITY OWNER
CHEN, CHIASHIN NMN	CHIEF COMPLIANCE OFFICER	2992660
DIBARTOLO, CYNTHIA DENISE	CHIEF EXECUTIVE OFFICER	2413494
MARRONE, MICHAEL THOMAS	PRINCIPAL OPERATIONS OFFICER/PRINCIPAL FINANCIAL OFFICER/FINOP	4859949

Regulatory assets under management

Total Number of Accounts	17
AUM (Assets Under Management)	$ 11,558,041

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Alexis E. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alexis Edna Thomas's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE WILLIAMS CAPITAL GROUP, L.P.

BLAYLOCK & COMPANY, INC.

LM CAPITAL SECURITIES, INC.

WR LAZARD, LAIDLAW INCORPORATED

CITICORP SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/24/1996

Series 79TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/16/1993

Series 52

Date: 6/25/1990

Series 3

Date: 2/3/1983

Series 53

Date: 1/2/2023

Series 24

Date: 1/2/2023

FINRA

NYSE American LLC

New York Stock Exchange

Current Firm

TIGRESS FINANCIAL PARTNERS, LLC

Contact information

FINRA licenses (35 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

TIGRESS FINANCIAL PARTNERS, LLC

TRUST BUT VERIFY

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