Thomas J. Harrop
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.
Thomas J Harrop, who also goes by Thomas J. Harrop, Thomas Harrop, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2004. Thomas had worked at 4 firms and has passed the Series 63, Series 99TO, SIE, 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
September 26, 2018 - November 30, 2021
CREDIT SUISSE PRIME SECURITIES SERVICES (USA) LLC
November 14, 2016 - March 10, 2022
CREDIT SUISSE SECURITIES (USA) LLC
May 18, 2016 - November 30, 2016
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
July 15, 2004 - November 30, 2016
GOLDMAN SACHS & CO. 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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CREDIT SUISSE PRIME SECURITIES SERVICES (USA) LLC
CRD#: 151470 / SEC#: , 8-68376
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREDIT SUISSE (USA), INC. | SOLE MEMBER | |
| CURRAN, RICHARD JOHN SR. | CHIEF OPERATING OFFICER | 4136136 |
| FISHER, JOHN JOSEPH | CHIEF COMPLIANCE OFFICER | 1588235 |
| HARROP, THOMAS J. | BOARD MEMBER | 4794173 |
| JHAWAR, NEIR | BOARD MEMBER | 5172109 |
| LUPETIN, SERGIO JOSEPH | CHIEF FINANCIAL OFFICER | 1221963 |
| MORRIS, DAVID STAUNTON | CHIEF EXECUTIVE OFFICER | 4827683 |
| REED, SALLY O | GENERAL COUNSEL | 4983901 |
Red Flags
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