Gordon S. Thomson
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.
Gordon Stuart Thomson was a registered financial professional .
Gordon is a previously registered financial professional and started their career in finance in 1993. Gordon had worked at 9 firms and has passed the Series 63, SIE, Series 17 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2010 - February 24, 2016
BARCLAYS CAPITAL INC.
October 1, 2008 - July 27, 2010
J.P. MORGAN SECURITIES LLC
June 29, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
January 4, 2005 - July 5, 2006
HSBC SECURITIES (USA) INC.
January 3, 2001 - August 27, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 29, 1998 - March 27, 2000
UBS SECURITIES LLC
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
January 3, 1995 - September 2, 1997
SBC WARBURG, INC.
September 27, 1993 - January 3, 1995
SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.
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
Series 17
Date: 7/9/1993
Limited Registered Representative ExaminationCurrent Firm
BARCLAYS CAPITAL INC.
CRD#: 19714 / SEC#: 801-69700, 8-41342
Contact information
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARCLAYS GROUP US INC. | OWNS BARCLAYS CAPITAL INC. | |
| ABREU, JULIAN JAVIER | ROSFP - PRIME SERVICES | 5160018 |
| JAISING, RAHUL | ROSFP - PRIME SERVICES | 4754959 |
| MATHIS, CAROL PEDERSEN | PRINCIPAL FINANCIAL OFFICER | 4322657 |
| MAYER, ANTHONY EDWARD | CHIEF RISK OFFICER | 8132690 |
| MOGAVERO, ANDREW MICHAEL | CHIEF EXECUTIVE OFFICER | 3247485 |
| O'CONNOR, CLAIRE SCHOLZ | BOARD DIRECTOR | 1907247 |
| ROGOFF, BRADLEY WAYNE | HEAD OF RESEARCH | 4569545 |
| SMITH, JULIETTE SARA | CHIEF LEGAL OFFICER | 5696210 |
| WESTWOOD, JAI | PRINCIPAL OPERATIONS OFFICER | 4611538 |
| ZACHARIA, ZACHARIA | CHIEF COMPLIANCE OFFICER | 2440444 |
Disclosures
| Regulatory Event | 142 |
| Civil Event | 4 |
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.
