Matthew A. Thompson
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.
Matthew Austin Thompson, who also goes by Matthew Austin Austin, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2015. Matthew had worked at 1 firm and has passed the SIE and Series 56 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2015 - September 22, 2017
CITIGROUP DERIVATIVES MARKETS INC.
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 56
Date: 6/30/2015
Proprietary Trader Qualification ExaminationCurrent Firm
CITIGROUP DERIVATIVES MARKETS INC.
CRD#: 133084 / SEC#: , 8-66679
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP FINANCIAL PRODUCTS INC. | DIRECT OWNER | |
| HALDANE, DAVID GEOFFREY | DIRECTOR | 5325475 |
| KELTZ, STEVEN JAY MR. | GENERAL COUNSEL | |
| MOGILEVSKY, CHARLES ROBERT | DIRECTOR | 1712540 |
| MOGILEVSKY, CHARLES ROBERT | PRESIDENT | 1712540 |
| MOGILEVSKY, CHARLES ROBERT | CHIEF OPERATIONS OFFICER / POO | 1712540 |
| SALIBA, RAMSEY | CHIEF FINANCIAL OFFICER / FINOP / PFO | 5358958 |
| TARLETON, JOHN KERMIT | CHIEF COMPLIANCE OFFICER | 1390864 |
| WINCHESTER, J SLADE | DIRECTOR | 1762956 |
Disclosures
| Regulatory Event | 20 |
Red Flags
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