Thomas J. Vallee
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 James Vallee, who also goes by Tom Vallee, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 11 firms and has passed the Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2006 - January 17, 2013
CANTOR FITZGERALD & CO.
December 11, 2002 - October 25, 2006
UBS INTERNATIONAL INC.
December 11, 2002 - October 25, 2006
UBS INTERNATIONAL INC.
August 14, 2000 - December 17, 2002
UBS FINANCIAL SERVICES INC.
August 11, 2000 - December 17, 2002
UBS FINANCIAL SERVICES INC.
September 28, 1999 - August 14, 2000
J.C. BRADFORD & CO.
October 9, 1998 - November 9, 1999
RBC CAPITAL MARKETS, LLC
August 15, 1996 - October 20, 1998
SPIRES FINANCIAL, L.P.
April 18, 1996 - August 21, 1996
MORGAN KEEGAN & COMPANY, LLC
September 1, 1994 - April 19, 1996
LEGG MASON WOOD WALKER, INCORPORATED
October 3, 1988 - September 1, 1994
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
July 25, 1987 - September 19, 1988
WESTCAP GOVERNMENT SECURITIES, INC.
August 20, 1985 - September 19, 1988
WESTCAP SECURITIES, L.P.
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
Series 8
Date: 5/15/1995
General Securities Sales Supervisor Examination (Options Module & General Module)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.
Check for any disclosures as part of your thorough research when choosing an advisor.
