Meade C. 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.
Meade Cauffiel Thomson was a registered financial professional .
Meade is a previously registered financial professional and started their career in finance in 1994. Meade had worked at 8 firms and has passed the Series 63, Series 55, 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
March 30, 2011 - July 9, 2012
DEUTSCHE BANK SECURITIES INC.
July 2, 2010 - December 1, 2010
FIRST NEW YORK SECURITIES L.L.C.
July 21, 2009 - July 26, 2010
CREDIT SUISSE SECURITIES (USA) LLC
July 1, 1998 - December 5, 1998
ABN AMRO SECURITIES LLC
November 20, 1996 - July 1, 1998
ING BARING (U.S.) SECURITIES, INC.
April 2, 1996 - October 31, 1996
CITIGROUP GLOBAL MARKETS INC.
January 1, 1996 - March 28, 1996
BARCLAYS CAPITAL INC.
April 26, 1995 - January 1, 1996
BARCLAYS DE ZOETE WEDD INCORPORATED
November 23, 1994 - March 10, 1995
CREDIT SUISSE SECURITIES (USA) LLC
Primary Firm SEC Registration
DEUTSCHE BANK SECURITIES INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
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 55
Date: 7/7/2010
Limited Representative-Equity Trader ExamCurrent Firm
DEUTSCHE BANK SECURITIES INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DB U.S. FINANCIAL MARKETS HOLDING CORPORATION | STOCKHOLDER | |
| LEONARD, CHRISTOPHER | CHIEF EXECUTIVE OFFICER & PRESIDENT | 5748580 |
| MASSARO, TIBERIO | DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP | 1847137 |
| NAPPER, GLEENNIA T | CHIEF COMPLIANCE OFFICER FOR INVESTMENT ADVISER | 6161268 |
| PETRUCCELLI, DOMINICK III | CHIEF RISK OFFICER | 8018800 |
| SANTORE, DAVID | CHIEF LEGAL OFFICER | 7987270 |
| STUCCHIO, ANTHONY | CHIEF OPERATIONS OFFICER AND DIRECTOR | 2198592 |
| TIGER, SEBASTIAN BENJAMIN | CHIEF COMPLIANCE OFFICER | 2266287 |
Disclosures
| Regulatory Event | 291 |
| Civil Event | 3 |
| Arbitration | 13 |
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.
