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ST

Stephen P. Thompson

PUMA CAPITAL
Rye, NY 10580
Some features on this profile are disabled
CRD#: 6584092
ST

Professional summary

Stephen Peter Thompson is a registered financial professional currently at PUMA CAPITAL, LLC located in Rye, New York and PCA CAPITAL SECURITIES, LLC located in Melville, New York.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2016. Stephen has worked at 2 firms and has passed the SIE, Series 99TO and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Peter Thompson's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 1, 2016 - Present

PUMA CAPITAL, LLC

Office #1: 555 Theodore Fremd Avenue Suite C204, Rye, NY 10580
BD
CRD#: 146744
Rye, NY
Current

June 3, 2025 - Present

PCA CAPITAL SECURITIES, LLC

Office #1: 900 Walt Whitman Rd. Suite 309, Melville, NY 11747
BD
CRD#: 132654
Melville, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/29/2015
Financial and Operations Principal Examination
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

PC
PCA CAPITAL SECURITIES, LLC
HALYARD SECURITIES, LLC | PCA CAPITAL SECURITIES, LLC

CRD#: 132654 / SEC#: , 8-66614

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
900 Walt Whitman Rd. Suite 309, Melville, NY 11747
Mailing Address
900 Walt Whitman Rd. Suite 309, Melville, NY 11747
Phone number
(212) 476-9300
Established
Delaware since 06/30/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
KESSELMAN, TODDCHIEF COMPLIANCE OFFICER2897424
KESSELMAN, TODDMANAGING MEMBER2897424
LAVERSA, GINA MARIEMANAGING MEMBER2372647
THOMPSON, STEPHEN PETERFINOP6584092

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

PCA CAPITAL SECURITIES, LLC

CRD#: 132654Rye, NY 10580

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