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PT

Peter W. Thompson

CAVU SECURITIES LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 2355564
PT

Professional summary

Peter William Thompson is a registered financial professional currently at CAVU SECURITIES LLC located in New York, New York.

Peter is registered as a RR (Registered Representative) and started their career in finance in 1993. Peter has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Peter William Thompson's CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 28, 2021 - Present

CAVU SECURITIES LLC

Office #1: 777 Third Avenue Suite 2102, New York, NY 10017
BD
CRD#: 6906
New York, NY
Past

August 18, 2015 - March 18, 2020

MORGAN STANLEY DISTRIBUTION, INC.

BD
CRD#: 30344
BOSTON, MA
Past

September 29, 2006 - January 22, 2015

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
BOSTON, MA
Past

September 30, 1996 - September 29, 2006

FAM DISTRIBUTORS, INC.

BD
CRD#: 4100
NEW YORK, NY
Past

March 1, 1995 - September 6, 1996

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
BOSTON, MA
Past

November 30, 1993 - March 1, 1995

COLONIAL INVESTMENT SERVICES

BD
CRD#: 25929

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
(2/4/2021)
RR
Arizona
(2/4/2021)
RR
California
(2/4/2021)
RR
Colorado
(2/4/2021)
RR
Connecticut
(2/4/2021)
RR
Delaware
(2/4/2021)
RR
District of Columbia
(2/4/2021)
RR
Florida
(2/4/2021)
RR
Georgia
(2/4/2021)
RR
Hawaii
(2/4/2021)
RR
Idaho
(2/4/2021)
RR
Illinois
(2/4/2021)
RR
Iowa
(2/4/2021)
RR
Kentucky
(2/4/2021)
RR
Louisiana
(2/4/2021)
RR
Maryland
(2/4/2021)
RR
Michigan
(2/4/2021)
RR
Mississippi
(2/4/2021)
RR
Missouri
(2/4/2021)
RR
Nebraska
(2/4/2021)
RR
Nevada
(2/4/2021)
RR
New Hampshire
(2/4/2021)
RR
New Jersey
(2/4/2021)
RR
New York
(1/28/2021)
RR
North Carolina
(2/4/2021)
RR
Ohio
(2/5/2021)
RR
Oklahoma
(2/4/2021)
RR
Oregon
(2/4/2021)
RR
Pennsylvania
(2/4/2021)
RR
Rhode Island
(2/4/2021)
RR
South Carolina
(2/4/2021)
RR
South Dakota
(2/4/2021)
RR
Tennessee
(2/4/2021)
RR
Texas
(2/4/2021)
RR
Utah
(2/4/2021)
RR
Vermont
(2/4/2021)
RR
Virginia
(2/4/2021)
RR
Washington
(2/4/2021)
RR
West Virginia
(2/4/2021)
RR
Wisconsin
(2/4/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 7/14/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/9/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/29/1993
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CAVU SECURITIES LLC
CAVU SECURITIES LLC | POINT CAPITAL MARKETS, LLC | POINT CAPITAL MARKETS, INC. | JOHN M. CUNNINGHAM INC. | JOHN M, CUNNINGHAM, INC

CRD#: 6906 / SEC#: , 8-18428

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
777 Third Avenue Suite 2102, New York, NY 10017
Mailing Address
777 Third Avenue Suite 2102, New York, NY 10017
Phone number
(212) 916-3840
Established
Delaware since 08/02/2010
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GPAR HOLDINGS I, LLCSHAREHOLDER
FLORIDA CAVU, LLCSHAREHOLDER
LOHWATER, KARL WILLEMFINANCIAL AND OPERATIONS PRINCIPAL2684561
MEDINA, NICOLAS ETTORECHIEF COMPLIANCE OFFICER2413385
PARSONS, GREGORY ALLENPRESIDENT, CEO,3148868

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.

Company Information

CAVU SECURITIES LLC

CRD#: 6906New York, NY 10017

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