Erwin Thomet
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.
Erwin Thomet was a registered financial professional .
Erwin is a previously registered financial professional and started their career in finance in 1993. Erwin had worked at 7 firms and has passed the Series 63, SIE, Series 7 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
April 30, 2001 - June 7, 2019
ING FINANCIAL MARKETS LLC
July 1, 1998 - April 30, 2001
ABN AMRO SECURITIES LLC
November 5, 1997 - July 1, 1998
ING BARING (U.S.) SECURITIES, INC.
December 23, 1996 - November 6, 1997
ING (U.S.) CAPITAL SECURITIES, INC.
November 6, 1995 - November 12, 1996
ING BARING (U.S.) SECURITIES, INC.
May 24, 1995 - November 6, 1995
INTERNATIONALE NEDERLANDEN (U.S.) SECURITIES CORPORATION
January 3, 1995 - April 3, 1995
SBC WARBURG, INC.
December 15, 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
Current Firm
ING FINANCIAL MARKETS LLC
CRD#: 28872 / SEC#: , 8-43978
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ING FINANCIAL HOLDINGS CORPORATION | SOLE SHAREHOLDER | |
| BENETREU, LINDA MARIANNE | DIRECTOR | 6448656 |
| CICCHILLO, DARREN THOMAS | CHIEF OPERATING OFFICER | 2261428 |
| MAESTAS, ADRIANA EMILIA | GENERAL COUNSEL | 7415275 |
| MCCARTHY, JOHN | CHIEF COMPLIANCE OFFICER | 4117424 |
| MEYER, KATHARYN ARABELA BOYLE | CHIEF EXECUTIVE OFFICER | 3063186 |
| SCHAEFFER, ANDREW DAVID | DIRECTOR | 1817568 |
| TORNIJ, MARK | DIRECTOR | 7337753 |
| WOLVIUS, JOHANNES DERK | CHIEF FINANCIAL OFFICER | 7053218 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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