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MT

Mark H. Thompson

CALAMAR FINANCIAL GROUP
AMHERST, NY 14228
Some features on this profile are disabled
CRD#: 4019316
MT

Professional summary

Mark Henry Thompson is a registered financial professional currently at CALAMAR FINANCIAL GROUP, LLC located in Amherst, New York.

Mark is registered as a RR (Registered Representative) and started their career in finance in 2000. Mark has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 55, Series 3 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Henry Thompson's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 13, 2024 - Present

CALAMAR FINANCIAL GROUP, LLC

Office #1: 40 John Glenn Drive, Amherst, NY 14228
BD
CRD#: 283992
AMHERST, NY
Past

September 1, 2022 - January 31, 2024

SEQUENCE FINANCIAL SPECIALISTS LLC

BD
CRD#: 132915
Charleston, SC
Past

May 14, 2015 - August 31, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
DARIEN, CT
Past

April 22, 2015 - August 31, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
DARIEN, CT
Past

November 1, 2004 - November 20, 2008

UBS SECURITIES LLC

BD
CRD#: 7654
CHICAGO, IL
Past

April 14, 2000 - May 2, 2000

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(8/13/2024)
RR
South Carolina
(8/13/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/13/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/22/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 9/11/2008
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 6/4/2004
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/9/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CF
CALAMAR FINANCIAL GROUP, LLC
CALAMAR FINANCIAL GROUP, LLC

CRD#: 283992 / SEC#: , 8-69777

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
40 John Glenn Drive, Amherst, NY 14228
Mailing Address
40 John Glenn Drive, Amherst, NY 14228
Phone number
(716) 693-0006
Established
Delaware since 02/02/2016
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (17 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CALAMAR CAPITAL NETWORK LLCMANAGING MEMBER
ATTANASIO, ELIZABETH MARIEFINOP5325007
INGRAHAM, FRANK TODDCHIEF COMPLIANCE OFFICER2918519
WOJCIECHOWSKI, DAMON STEPHENPRESIDENT,MANAGING PARTNER, GSP #12099699

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.

Company Information

CALAMAR FINANCIAL GROUP, LLC

CRD#: 283992Amherst, NY 14228

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