Richard R. 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.
Richard Raymond Thompson, who also goes by Dick Thompson, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 8 firms and has passed the Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 2004 - August 1, 2012
MORGAN KEEGAN & COMPANY, LLC
July 28, 2004 - August 1, 2012
MORGAN KEEGAN & COMPANY, LLC
May 31, 2001 - August 6, 2004
UNION PLANTERS INVESTMENT ADVISORS, INC.
December 1, 1999 - August 5, 2004
PFIC SECURITIES CORPORATION
May 22, 1996 - November 30, 1999
MAGNA INVESTMENTS
March 19, 1993 - May 29, 1996
HUNTLEIGH SECURITIES CORPORATION
October 28, 1988 - February 24, 1993
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 20, 1983 - September 29, 1983
SLAYTON,PONTUIS & CO.,INC.
December 1, 1982 - November 7, 1988
NEWHARD, COOK & CO. INCORPORATED
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 8
Date: 4/29/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
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.
