Christopher Thome has been Chief Compliance Officer of Icapital Advisors since March 2019, is a control person of the firm and directly owns under 5% of it.
Icapital Advisors, LLC is a New York, NY firm with $150B under management, 1,314 clients and 46 advisers across 3 offices, as of its September 2026 filing.
No adviser firm registrations are on Christopher Thome’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 16 March 2023 |
| Series 24 | General Securities Principal Examination | 22 February 2019 |
| Series 7TO | General Securities Representative Examination | 11 January 2019 |
| SIE | Securities Industry Essentials Examination | 17 December 2018 |
- Name
- Compliance Officer Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Full name
- Christopher Wesley Thome
- CRD
- 5488980
- Firm
- Icapital Advisors · CRD 177513
- Role
- Chief Compliance Officer
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Christopher Thome work?
Christopher Thome has been Chief Compliance Officer of Icapital Advisors, LLC since March 2019, and is a control person of the firm.
Does Christopher Thome have a current investment-adviser registration?
Christopher Thome has a current broker registration and no current investment-adviser registration.
What exams has Christopher Thome passed?
Christopher Thome has passed 4 licensing exams: the SIE, Series 7TO, Series 24 and Series 14. The earliest, the SIE, was passed in December 2018.
Is Christopher Thome registered with FINRA?
Yes. Christopher Thome has a current broker registration, under CRD 5488980.
Source: FINRA BrokerCheck
How can I verify Christopher Thome’s record?
Search CRD 5488980 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Christopher Thome’s full registration record.
