Michael P. Tompkins
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.
Michael Paul Tompkins, who also goes by Mike Paul Tompkins, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2006. Michael had worked at 3 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
July 30, 2008 - March 3, 2009
G-TRADE SERVICES LLC
January 10, 2007 - May 3, 2013
COWEN EXECUTION SERVICES LLC
January 5, 2007 - July 29, 2008
G-TRADE SERVICES LLC
June 13, 2006 - December 31, 2006
PERSHING 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
Exams
Series 55
Date: 6/22/2007
Limited Representative-Equity Trader ExamCurrent Firm
G-TRADE SERVICES LLC
CRD#: 140314 / SEC#: , 8-67304
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONVERGEX GROUP, LLC | MEMBER | |
| MAESE, MICHAEL JOSEPH | FINOP | 2840801 |
| MCCARTHY, CONOR JOHN | EXECUTIVE MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER | 2866668 |
| NOLL, ERIC WILSON | MANAGER - NON EMPLOYEE | 2050994 |
| ORDONEZ, BEATRICE | COO AND MANAGING DIRECTOR | 5132506 |
| POPP, THOMAS HAROLD | CHIEF COMPLIANCE OFFICER | 2495083 |
| VOETSCH, GREGORY CHARLES | CEO | 1223244 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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