Patrick T. Ahearn
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.
Patrick Theodore Ahearn was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1988. Patrick had worked at 13 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2018 - May 27, 2020
CFWP SECURITIES, LLC
May 14, 2018 - December 14, 2020
SUNRISE BROKERS LLC
May 14, 2018 - December 14, 2020
MINT BROKERS
May 14, 2018 - December 14, 2020
GFI SECURITIES LLC
May 14, 2018 - December 14, 2020
FMX EXECUTION, LLC
May 14, 2018 - December 14, 2020
CF SECURED, LLC
May 14, 2018 - December 14, 2020
BGC FINANCIAL, L.P.
May 14, 2018 - December 14, 2020
AQUA SECURITIES L.P.
September 14, 2009 - December 14, 2020
CANTOR FITZGERALD & CO.
May 30, 2006 - August 20, 2009
HSBC SECURITIES (USA) INC.
March 28, 2001 - May 3, 2006
DEUTSCHE BANK SECURITIES INC.
May 8, 1991 - November 8, 2000
CREDIT SUISSE SECURITIES (USA) LLC
September 20, 1988 - May 16, 1991
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 11/16/2022
General Securities Representative ExaminationSeries 99TO
Date: 11/16/2022
Operations Professional ExaminationCurrent Firm
CFWP SECURITIES, LLC
CRD#: 170228 / SEC#: , 8-69415
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANTOR FITZGERALD WEALTH PARTNERS HOLDINGS, LLC | PARENT COMPANY | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| KAPLAN, MARK ELLIOT | CHIEF EXECUTIVE OFFICER | 2618079 |
| PAULSON, KENNETH MICHAEL | CHIEF FINANCIAL OFFICER | 2862259 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
Red Flags
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