Thomas L. Ashcraft
Professional summary
Thomas Lee Ashcraft, who also goes by Thomas Lee Ashcraft, Tom Ashcraft, is a registered financial professional currently at CANTOR FITZGERALD & CO. located in Charlotte, North Carolina.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1995. Thomas has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Lee Ashcraft's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 4, 2025 - Present
CANTOR FITZGERALD & CO.
Office #1: 900 West Trade Street Suite 725, Charlotte, NC 28202March 28, 2011 - April 1, 2025
PIPER SANDLER & CO.
November 25, 2002 - April 11, 2011
SCOTT & STRINGFELLOW, LLC
April 29, 2002 - November 18, 2002
BANC OF AMERICA SECURITIES LLC
December 12, 2000 - March 1, 2002
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
July 16, 1996 - October 31, 2000
WACHOVIA SECURITIES, INC.
March 2, 1995 - July 8, 1996
GREENWICH PARTNERS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/12/2025)
(8/15/2025)
(10/15/2025)
(8/12/2025)
(8/12/2025)
(10/15/2025)
(8/12/2025)
(8/12/2025)
(8/12/2025)
(8/4/2025)
(8/12/2025)
Exams
Cboe BYX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
Red Flags
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