Thomas J. Lewis
Professional summary
Thomas Joseph Lewis, who also goes by Thomas J Lewis, Tommy Lewis, is a registered financial professional currently at GFI SECURITIES LLC located in New York, New York and BGC FINANCIAL, L.P. located in Darien, Connecticut.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1996. Thomas has worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Joseph Lewis's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 16, 2010 - Present
GFI SECURITIES LLC
Office #1: 55 Water Street 10th Floor, New York, NY 10041Office #2: 6 Thorndal Circle, Darien, CT 06820April 20, 2020 - Present
BGC FINANCIAL, L.P.
Office #1: 6 Thorndal Circle Floor 2, Darien, CT 06820Office #2: 55 Water Street 10th Floor, New York, NY 10004April 20, 2020 - Present
MINT BROKERS
Office #1: 55 Water Street 10th Floor, New York, NY 10004January 9, 2007 - December 31, 2009
TULLETT PREBON FINANCIAL SERVICES LLC
April 3, 2002 - March 19, 2007
CHAPDELAINE CORPORATE SECURITIES & CO
February 3, 1997 - June 30, 1999
MINT BROKERS
December 2, 1996 - February 3, 1997
CANTOR FITZGERALD & CO.
June 26, 1996 - June 30, 1999
CANTOR FITZGERALD SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/4/2020)
(6/4/2020)
(2/24/2017)
(6/25/2020)
(3/16/2017)
(8/13/2020)
(6/4/2020)
(1/26/2017)
(6/12/2020)
(6/7/2022)
(6/4/2020)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
MINT BROKERS
CRD#: 13681 / SEC#: , 8-29616
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MINT BROKERS HOLDINGS I, LLC | LIMITED PARTNER | |
| ABULARRAGE, JOHN JOSEPH | CHIEF EXECUTIVE OFFICER | 3265633 |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| LEWIS, THOMAS JOSEPH | MANAGING DIRECTOR FIXED INCOME AND COMMODITIES | 2684821 |
| LYNCH, MARTIN | CHIEF OPERATING OFFICE | 5612726 |
| MINT BROKERS HOLDING II, LLC | GENERAL PARTNER | |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
Disclosures
| Regulatory Event | 2 |
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.
