Thomas J. Basehart
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 Joseph Basehart was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1978. Thomas had worked at 14 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 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
April 9, 2012 - January 11, 2024
CANTOR FITZGERALD & CO.
August 24, 2011 - March 22, 2012
FELTL & COMPANY
October 19, 2010 - September 14, 2011
MELVIN SECURITIES, L.L.C.
March 5, 2009 - March 11, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
September 16, 2002 - November 18, 2008
MESIROW FINANCIAL, INC.
February 6, 2001 - May 8, 2002
NBC CAPITAL MARKETS GROUP, INC.
January 2, 2001 - February 2, 2001
FHN FINANCIAL SECURITIES CORP.
November 6, 1995 - April 4, 2000
MORGAN KEEGAN & COMPANY, LLC
June 7, 1995 - November 17, 1995
NATCITY INVESTMENTS, INC.
June 13, 1994 - June 8, 1995
ALEX. BROWN & SONS INCORPORATED
August 16, 1988 - June 2, 1994
RODMAN & RENSHAW INC.
November 17, 1987 - August 24, 1988
PRUDENTIAL EQUITY GROUP, LLC
September 29, 1983 - April 15, 1987
BLUNT ELLIS & LOEWI INCORPORATED
March 27, 1978 - September 19, 1983
FIFTH THIRD SECURITIES, 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent 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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