Thomas K. Anderson
Professional summary
Thomas Keith Anderson is a registered financial professional currently at CIBC WORLD MARKETS CORP. located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1997. Thomas has worked at 7 firms and has passed the SIE, Series 99 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Keith Anderson's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 5, 2021 - Present
CIBC WORLD MARKETS CORP.
Office #1: 300 Madison Avenue Sixth Floor, New York, NY 10017August 29, 2016 - July 9, 2018
BNP PARIBAS PRIME BROKERAGE, INC.
August 29, 2016 - April 22, 2021
BNP PARIBAS SECURITIES CORP.
October 23, 2000 - February 10, 2003
ICLEARING LLC
April 10, 2000 - August 18, 2000
DONALD & CO. SECURITIES INC.
July 27, 1999 - April 11, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 7, 1999 - April 21, 1999
PERSHING LLC
December 15, 1997 - March 16, 1999
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
FINRA
Current Firm
CIBC WORLD MARKETS CORP.
CRD#: 630 / SEC#: , 8-18333
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CIBC INC. | 100% SHAREHOLDER | |
| CONSOLA, PATRICK D | CHIEF COMPLIANCE OFFICER | 1133831 |
| DUBCZAK, ROMAN STEPAN | DIRECTOR | 5511542 |
| GRIFFITH, MARVIN SCOTT | PRINCIPAL FINANCIAL OFFICER | 1670889 |
| PERRY, ACHILLES M | GENERAL COUNSEL, ASSISTANT SECRETARY, DIRECTOR | 4183476 |
| PRICE, ERIC S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 1985843 |
| TRABOULSI, ALFRED | MANAGING DIRECTOR, HEAD US INVESTMENT BANKING | 6594715 |
| ZELLERMAYER, MICHAEL | PRINCIPAL OPERATIONS OFFICER | 1662785 |
Disclosures
| Regulatory Event | 76 |
| Arbitration | 86 |
Red Flags
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