Ray N. 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.
Ray Neal Thompson was a registered financial professional .
Ray is a previously registered financial professional and started their career in finance in 1982. Ray had worked at 5 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 1992 - May 26, 1998
FIRST SPRINGFIELD SECURITIES, INC.
October 10, 1989 - November 5, 1991
FIRST AFFILIATED SECURITIES
February 27, 1984 - December 15, 1984
INVEST FINANCIAL CORPORATION
November 21, 1983 - January 26, 1984
MORGAN STANLEY DW INC.
September 24, 1982 - November 17, 1983
MF GLOBAL 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
Current Firm
FIRST SPRINGFIELD SECURITIES, INC.
CRD#: 25099 / SEC#: , 8-41610
Contact information
Documents
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.
