Charles F. Thompson
Professional summary
Charles Francis Thompson II, who also goes by Charles Francis Thompson II, is a registered financial professional currently at CANTOR FITZGERALD & CO. located in New York, New York.
Charles is registered as a RR (Registered Representative) and started their career in finance in 2008. Charles has worked at 5 firms and has passed the Series 63, SIE, Series 79TO and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles Francis Thompson II's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 5, 2024 - Present
CANTOR FITZGERALD & CO.
Office #1: 110 East 59th Street 4 Floor Itd, New York, NY 10022Office #2: 14185 Dallas Parkway Suite 870, Dallas, TX 75254May 22, 2023 - October 29, 2024
CAVU SECURITIES LLC
September 11, 2020 - March 7, 2023
CREDIT SUISSE SECURITIES (USA) LLC
September 7, 2019 - July 23, 2020
BMO CAPITAL MARKETS CORP.
July 12, 2010 - August 13, 2014
CREDIT SUISSE SECURITIES (USA) LLC
August 29, 2008 - July 23, 2010
MORGAN STANLEY & 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
(11/5/2024)
(11/5/2024)
Exams
Series 79TO
Date: 8/17/2019
Investment Banking Registered Representative ExaminationFINRA
Current Firm
CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
Red Flags
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