Thomas C. Gonnella
Professional summary
Thomas Christopher Gonnella was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, Thomas had worked at 4 firms, which includes KGS-ALPHA CAPITAL MARKETS L.P., BARCLAYS CAPITAL INC., LEHMAN BROTHERS INC., NANDRA GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2012 - January 15, 2015
KGS-ALPHA CAPITAL MARKETS, L.P.
September 22, 2008 - December 21, 2011
BARCLAYS CAPITAL INC.
August 29, 2006 - September 22, 2008
LEHMAN BROTHERS INC.
June 27, 2002 - October 24, 2002
NANDRA GROUP, INC.
State Registrations and Notice Filings
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Exams
Current Firm
KGS-ALPHA CAPITAL MARKETS, L.P.
CRD#: 151705 / SEC#: , 8-68390
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KGS HOLDINGS, L.P. | PARENT | |
| GOLDMAN, DANIEL ALAN | PRESIDENT | 1406528 |
| KAHRAMAN, LEVENT | CEO, HOME OFFICE SUPERVISOR | 2802822 |
| KGS-ALPHA CAPITAL MARKETS GP, LLC | PARENT - GENERAL PARTNER | |
| KRANZ, AVERY H | CHIEF COMPLIANCE OFFICER | 2795963 |
| KRIEGER, FREDERIC MICHAEL | GENERAL COUNSEL, EXECUTIVE REP., AML SUPERVISOR | 2194757 |
| SEERY, ROBERT PATRICK | CFO, FINOP | 862273 |
| SMOLYANSKIY, IGOR | CHIEF ADMINISTRATIVE OFFICER | 5017961 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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