Elgin M. Thompson
Professional summary
Elgin Morris Thompson JR, who also goes by Elgin Morris Thompson, is a registered financial professional currently at CITIZENS JMP SECURITIES, LLC located in New York, New York.
Elgin is registered as a RR (Registered Representative) and started their career in finance in 2002. Elgin has worked at 7 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Elgin Morris Thompson JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 10, 2019 - Present
CITIZENS JMP SECURITIES, LLC
Office #1: 1301 Avenue Of The Americas 2nd Floor, New York, NY 10019September 3, 2014 - August 7, 2019
INTE SECURITIES LLC
June 24, 2013 - May 22, 2014
CRONUS PARTNERS LLC
December 11, 2009 - May 14, 2013
THE WILLIAMS CAPITAL GROUP, L.P.
April 28, 2005 - June 19, 2008
J.P. MORGAN SECURITIES LLC
March 31, 2004 - April 19, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 15, 2002 - March 29, 2004
COWEN AND COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/10/2019)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
CITIZENS JMP SECURITIES, LLC
CRD#: 22208 / SEC#: , 8-39613
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JMP HOLDING LLC | PARENT COMPANY | |
| CONROY, WALTER IVOR | GENERAL COUNSEL | 6641487 |
| GREGORY, JOHN | PRESIDENT | 4600619 |
| JACKSON, RAYMOND SIVA | CHIEF FINANCIAL OFFICER | 5563363 |
| MANNING, SIMON STONE | SENIOR REGISTERED OPTIONS PRINCIPAL (SROP) | 1941279 |
| MCLAUGHLIN, BRENDAN | CHIEF COMPLIANCE OFFICER | 2562815 |
| O'DAY, JAMES CORTLAND | HEAD OF EQUITIES | 5618215 |
| SLADER, GAVIN WILLEY | HEAD OF INVESTMENT BANKING | 4130019 |
| SPURR, JEFFREY HOLMES | HEAD OF RESEARCH | 1384716 |
| SUCHY, GREGORY JOHN | CHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER | 5907019 |
| WHITEHEAD, AIDAN PETER | HEAD OF TRADING & SALES TRADING | 2474257 |
| XIAO, ZHUO VIVIAN XUAN | FINOP | 5121578 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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