Thomas Regazzi
Professional Summary
Thomas Regazzi, who also goes by Thomas P Regazzi, Thomas P. Regazzi, Thomas Paul Regazzi, Thomas P. P. Regazzi, is a registered financial advisor currently at CANTOR FITZGERALD & CO. located in Jericho, New York and CF SECURED, LLC located in Jericho, New York. Thomas is registered as a RR (Registered Representative) and started their career in finance in 2002. Thomas has worked at 7 firms and has passed the Series 63, Series 65, SIE,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas P Regazzi, Thomas P. Regazzi, Thomas Paul Regazzi, Thomas P. P. Regazzi
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
24 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
CANTOR FITZGERALD SECURED, LLC | CF SECURED, LLC | CANTOR PRIME SERVICES
Contact Information
Main Address
110 East 59th Street 4th Floor, New York, NY 10022Mailing Address
110 East 59th Street 4th Floor, New York, NY 10022Phone Number
(212) 938-5000Established
Delaware since 09/16/2016Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (50 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CF SECURED HOLDINGS, LLC | SOLE MEMBER | — |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFIER/GLOBAL HEAD OF EQUITIES | 4424051 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SOLOWEY, SCOTT | CHIEF COMPLIANCE OFFICER | 4563137 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(2/18/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Oct 2005SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas Regazzi's CRS (Customer Relationship Summary).
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