Thomas J. Vannostrand
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 Josepa Vannostrand was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1987. Thomas had worked at 3 firms and has passed the SIE exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2003 - August 23, 2016
ICAP SECURITIES USA LLC
January 9, 2003 - June 24, 2003
BGC FINANCIAL, L.P.
July 25, 1987 - March 16, 2001
CANTOR FITZGERALD SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
ICAP SECURITIES USA LLC
CRD#: 19739 / SEC#: , 8-37947
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ICAP GLOBAL BROKING INC. | SOLE MEMBER | |
| BERNARDO, SHAWN FRANCIS | CEO | 2513376 |
| DESIMONE, LISA MARIE | CHIEF COMPLIANCE OFFICER | 2691368 |
| GOULET, STEPHEN PAUL | SENIOR MANAGING DIRECTOR/GENERAL COUNSEL/SECRETARY | 4769810 |
| MURPHY, GREGORY FRANCIS | CHIEF OPERATING OFFICER | 1483320 |
| PEZEU, CHRISTIAN JEAN MICHEL | PRINCIPAL FINANCIAL OFFICER | 5661987 |
Disclosures
| Regulatory Event | 3 |
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.
