Thomas A. Keyes

GFI SECURITIES LLC

New York, NY 10041

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CRD#: 1391440

Professional summary

Thomas Aloysius Keyes, who also goes by Thomas A Keyes, is a registered financial professional currently at GFI SECURITIES LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1988. Thomas has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas A Keyes

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 Thomas Aloysius Keyes'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

September 6, 2022 - Present

GFI SECURITIES LLC

Office #1: 55 Water Street 10th Floor, New York, NY 10041

CRD#: 19982

New York, NY

Past

June 20, 2012 - March 24, 2021

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

New York, NY

Past

May 6, 2010 - April 11, 2012

BGC FINANCIAL, L.P.

CRD#: 19801

NEW YORK, NY

Past

April 22, 2008 - April 8, 2010

BGC FINANCIAL, L.P.

CRD#: 19801

NEW YORK, NY

Past

November 24, 2004 - May 5, 2008

SEABOARD SECURITIES, INC.

CRD#: 755

GARDEN CITY, NY

Past

May 22, 2002 - October 28, 2004

PECONIC SECURITIES LLC

CRD#: 46781

NEW YORK, NY

Past

January 1, 1991 - February 14, 2002

MCFADDEN, FARRELL & SMITH, L.P.

CRD#: 26245

NEW YORK, NY

Past

August 7, 1990 - March 21, 1991

W.A. CAPITAL MARKETS

CRD#: 6292

NEW YORK, NY

Past

May 25, 1988 - June 21, 1990

MINT BROKERS

CRD#: 13681

NEW YORK, NY

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
(9/8/2022)

Exams

State Security Law Exam

Series 63

Date: 4/22/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/21/1988

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

GFI SECURITIES LLC

CRD#: 19982 / SEC#: , 8-43548

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

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Contact information

Main Address

55 Water Street 10th Floor, New York, NY 10041

Mailing Address

55 Water Street 10th Floor, New York, NY 10041

Phone number

(212) 968-2032

Established

New York since 07/09/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (26 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GFINET INC.	SOLE MEMBER
ABULARRAGE, JOHN JOSEPH	CHIEF EXECUTIVE OFFICER	3265633
ANZALONE, THOMAS JOSEPH	CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER	1161513
HAUF, JASON WILLIAMS	CHIEF FINANCIAL OFFICER	4163331
LEWIS, THOMAS JOSEPH	PRINCIPAL	2684821
LYNCH, MARTIN	CHIEF OPERATING OFFICER	5612726
SULFARO, MICHAEL CARL	CHIEF COMPLIANCE OFFICER	2483562

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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Firm Stability Insights

Thomas A. Keyes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Aloysius Keyes's CRS (Customer Relationship Summary).

Certified licenses

Experience

TULLETT PREBON FINANCIAL SERVICES LLC

BGC FINANCIAL, L.P.

BGC FINANCIAL, L.P.

SEABOARD SECURITIES, INC.

PECONIC SECURITIES LLC

MCFADDEN, FARRELL & SMITH, L.P.

W.A. CAPITAL MARKETS

MINT BROKERS

State Registrations and Notice Filings

Exams

Series 63

Date: 4/22/1988

SIE

Date: 10/1/2018

Series 7

Date: 5/21/1988

FINRA

NYSE Arca, Inc.

Nasdaq ISE, LLC

Nasdaq Stock Market

Current Firm

GFI SECURITIES LLC

Contact information

FINRA licenses (26 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GFI SECURITIES LLC

TRUST BUT VERIFY

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