TS
Thomas N. Smith
CANTOR FITZGERALD & CO.
New York, NY 10022
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CRD#: 1407110
TS
Professional summary
Thomas Neil Smith, CFP®, who also goes by Neil Smith, T Neil Smith, Thomas N. Smith, is a registered financial professional currently at CANTOR FITZGERALD & CO. located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1985. Thomas has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 9, Series 10, Series 8, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Neil Smith | T Neil Smith | Thomas N. Smith
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.
CRS (Client Relationship Summary) - BD
Click below to view Thomas Neil Smith's 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®
Experience
Current
May 15, 2018 - Present
CANTOR FITZGERALD & CO.
Office #1: 110 East 59th Street 4 Floor Itd, New York, NY 10022BD
CRD#: 134
New York, NY
Past
June 29, 1998 - February 15, 2018
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
BD
CRD#: 1650
STAMFORD, CT
Past
June 3, 1996 - September 2, 1997
SBC WARBURG, INC.
BD
CRD#: 23745
NEW YORK, NY
Past
September 14, 1988 - June 3, 1996
S.G. WARBURG & CO. INC.
BD
CRD#: 1483
NEW YORK, NY
Past
September 24, 1985 - October 4, 1988
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(5/15/2018)
RR
Alaska(5/15/2018)
RR
Arizona(5/15/2018)
RR
Arkansas(5/15/2018)
RR
California(5/15/2018)
RR
Colorado(5/15/2018)
RR
Connecticut(5/15/2018)
RR
Delaware(5/15/2018)
RR
District of Columbia(5/15/2018)
RR
Florida(5/15/2018)
RR
Georgia(5/15/2018)
RR
Hawaii(5/15/2018)
RR
Idaho(5/15/2018)
RR
Illinois(5/15/2018)
RR
Indiana(5/15/2018)
RR
Iowa(5/15/2018)
RR
Kansas(5/15/2018)
RR
Kentucky(5/15/2018)
RR
Louisiana(5/15/2018)
RR
Maine(5/15/2018)
RR
Maryland(5/15/2018)
RR
Massachusetts(5/15/2018)
RR
Michigan(5/15/2018)
RR
Minnesota(5/15/2018)
RR
Mississippi(5/15/2018)
RR
Missouri(5/15/2018)
RR
Montana(5/15/2018)
RR
Nebraska(5/15/2018)
RR
Nevada(5/15/2018)
RR
New Hampshire(5/15/2018)
RR
New Jersey(5/15/2018)
RR
New Mexico(5/15/2018)
RR
New York(5/15/2018)
RR
North Carolina(5/15/2018)
RR
North Dakota(5/15/2018)
RR
Ohio(5/15/2018)
RR
Oklahoma(5/15/2018)
RR
Oregon(5/15/2018)
RR
Pennsylvania(5/15/2018)
RR
Puerto Rico(5/15/2018)
RR
Rhode Island(5/15/2018)
RR
South Carolina(5/15/2018)
RR
South Dakota(5/15/2018)
RR
Tennessee(5/15/2018)
RR
Texas(5/15/2018)
RR
Utah(5/15/2018)
RR
Vermont(5/15/2018)
RR
Virginia(5/15/2018)
RR
Washington(5/15/2018)
RR
West Virginia(5/15/2018)
RR
Wisconsin(5/15/2018)
RR
Wyoming(5/15/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 1/13/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 3/20/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
CANTOR FITZGERALD & CO.
CANTOR DIRECT A DIVISION OF CANTOR FITZGERALD & CO. | CANTOR, FITZGERALD & CO., INC. | CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
110 East 59th Street 4th Floor, New York, NY, 10022
Mailing Address
110 East 59th Street 4th Floor, New York, NY, 10022
Phone number
(212) 938-5000
Established
New York since 09/25/1992
Firm type
Partnership
Fiscal year end
December
Firm Size
Large
# of Employees
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.
