Mark Alan Thompson
Professional Summary
Mark Alan Thompson is a registered financial advisor currently at BGC FINANCIAL, L.P. located in Jericho, New York and FMX EXECUTION, LLC located in New York, New York. Mark is registered as a RR (Registered Representative) and started their career in finance in 1993. Mark has worked at 4 firms and has passed the Series 63, Series 72 and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
FENICS EXECUTION, LLC | MODENA SECURITIES LLC | KYTE SECURITIES LLC | FMX EXECUTION, LLC
Contact Information
Main Address
55 Water Street, New York, NY 10041Mailing Address
55 Water Street, New York, NY 10041Phone Number
(212) 968-4122Established
New York since 04/20/2010Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (50 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FENICS MARKETS XCHANGE, LLC | SOLE MEMBER | — |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| RINALDO, MARK J | CHIEF OPERATING OFFICER | 4824739 |
| SCOTTO, LOUIS JAMES | CHIEF EXECUTIVE OFFICER | 1483052 |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(5/9/2018)
(5/9/2018)
(5/10/2018)
(5/11/2018)
(5/9/2018)
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(5/11/2018)
(6/12/2018)
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(5/9/2018)
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(5/24/2018)
(5/11/2018)
(5/10/2018)
(8/20/2009)
(5/9/2018)
(5/10/2018)
(5/9/2018)
(5/10/2018)
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(5/10/2018)
(5/14/2018)
(5/9/2018)
(5/29/2018)
(5/10/2018)
(5/14/2018)
(5/10/2018)
(5/14/2018)
(5/11/2018)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 72 — Government Securities Representative Examination
Passed Jan 2023SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Mark Alan Thompson's CRS (Customer Relationship Summary).
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